Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a Supplemental Liquidity Schedule, and Instructions thereto, pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).
This proposal has nothing to do with investor protection or market integrity. In a free republic, companies should be free to create their own human resource policies that fit their competitive needs under the law. FINRA should not use their monopoly to push any agenda that is unrelated to customer protection and market integrity.
FINRA Gateway Reports contains historical information about individuals associated with your firm, including previous residential and branch locations. However, you may at times only want to compile a report with current addresses or branch locations. In these situations, you will want to use the Is null filter operator for end dates.
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Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury Securities reported by FINRA Members to TRACE for the prior week. The reports have been published since March 2020. In the next few weeks, FINRA will publish the following:
On May 4, 2021, FINRA will publish historical weekly reports from January 2019 through the launch of the report in March 2020. The data will be
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“
Sydney Teixeira joined FINRA in 2016 and is a Principal Analyst in the Fixed Income Regulation, Regulatory Policy and Practice department, responsible for monitoring the policy and examination implications of fixed income regulatory matters. As a member of Fixed Income Regulation, Ms. Teixeira has contributed to several of the group’s initiatives, including the response to the COVID-19 impact on
Tim Mountz, Vice President and Associate General Counsel, oversees the Office of General Counsel’s Litigation group, Data Privacy and Protection Office, and Criminal Prosecution Assistance Group. Previously, Mr. Mountz was a partner from 1997-2014 in the law firm of Baker Botts LLP in Dallas, Texas, where he practiced in the areas of complex commercial litigation, class action securities
Elisabeth Craig is Senior Vice President & Deputy, FINRA, Credentialing, Registration, Education and Disclosure (CRED), responsible for oversight of registration functions and testing and continuing education.
Prior to joining FINRA, Elisabeth was employed as Counsel with DCS Advisory, an investment banking firm, where she focused on all aspects of legal and compliance matters. Elisabeth
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
