Derek Linden is the Executive Vice President for Credentialing, Registration, Education and Disclosure (CRED). In this role, he leads FINRA's registration, disclosure, testing and continuing education programs for the securities industry (Central Registration Depository (CRD), BrokerCheck and CE Online) and the delivery of similar programs for the SEC (Investment Adviser Registration
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
Patrice Gliniecki is Senior Vice President and Deputy General Counsel. In this capacity, she manages FINRA’s Office of General Counsel’s Regulatory Practice and Policy Group, which is responsible for the rulemaking and interpretive functions for the organization. She also serves as the Chief of Staff of FINRA’s Chief Legal Office.
Prior to joining FINRA in 1999, Ms. Gliniecki worked for six
Jennifer Piorko Mitchell is Vice President of Corporate Governance and Deputy Corporate Secretary. In this position, she assists in coordinating all activities of FINRA’s Board of Governors and manages the activities of the Office of the Corporate Secretary (OCS), including overseeing FINRA’s corporate elections. Ms. Mitchell also serves as the Secretary of the FINRA Investor Education Foundation
Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic
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The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
