(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
I oppose Rule 3290. It is serious over reach into both the professional and personal lives of Financial Advisors. As I read elsewhere, this is akin to not allowing Real Estate Agents and there families from owning a home. Do not pass this rule!
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
Remarks from the FINRA Annual Conference
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
I am writing to respectfully request your attention to an issue I have encountered regarding the process for obtaining a waiver for individuals like myself who have held multiple FINRA licenses in the past but whose registrations have expired due to factors outside of their control.I have held several FINRA licenses dating back to 1998 (please refer to the attached report for details). In 2013, I
(a) When HeldThe hearing shall be held not later than 15 days after service of the notice and filing initiating the proceeding, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing Officer for good cause shown. If a Hearing Officer or Hearing Panelist is recused or disqualified, the hearing shall be held not later than five days after a replacement Hearing Officer or
SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
Industry Governor (Mid-size Firm Representative)Global Head, Pershing Advisor Solutions LLCGovernor Since 2021Committees: Conflicts Committee, Executive Committee, Nominating & Governance Committee (Chair), Regulatory Policy CommitteeProfessional ExperiencePershing Advisor Solutions LLCGlobal Head (2023 – present)Chief Executive Officer (2019 – 2023)Chief Operating Officer (2017
