To whom it may concern:
People nowadays have internet resources that are comparable to those of the Wall Street investors. I, for example, uses excel to calculate risk and rewards based on data collected from various brokerages/yahoo finance/bloomberg/LPLfinance...etc. A test imposed by regulators may have nothing to do with my excel calculations and probably remotely relevant to the success of
The Audit & Risk Committee (Committee) is a standing committee of the FINRA Board of Governors (Board). This Charter and the FINRA Governance Guidelines govern the operations of this Committee.
Comments: I am an investor, an advisor, a father, a son, husband and business owner. I have used these leveraged products in small amounts and I feel there is a lot of warnings, disclaimers, etc on these already. If anything maybe make the warning bigger or more bold but don't limit the access of these. That would in my mind do the following 1-increase risk because it would limit volume and
Elimination of Continuing Education Delivery at Testing Centers
Summary
FINRA will conduct a Special Meeting of large firms on Monday, October 31, 2022, at 9:00 a.m. ET in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).1
It is important that all eligible large firms be represented by proxy or in person at the
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s
As Senior Vice President, Enterprise & Financial Solutions, Carrie DiValerio is responsible for leading FINRA’s Enterprise Strategy function. In this role, she oversees the development of enterprise and department strategy through implementation of the objectives and key results framework and management of FINRA’s human capital and initiative resources. Since joining FINRA in
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
