This webinar highlights FINRA Rule 6151 and provides a demonstration of the Rule 606(a) report submission process, a discussion of the rollout plan and credentialing, and a Q&A segment. The PowerPoint deck to the webinar can be found here.
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
SummaryThe annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.The purpose of this
February 24, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss the 2021 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerThomas Mellett, Senior Director, ExaminationsSteven Polansky, Senior Director, Member
August 12, 2019FINRA President and CEO Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Vice President Dave Chapman, as well as Senior Director, CAT Business Operations, FINRA CAT, LLC Paul McKenney, to discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT).Speakers:Robert Cook, FINRA President and Chief Executive
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.
June 15, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss cybersecurity issues affecting the industry and effective practices.Speakers:Robert Cook, FINRA President and Chief Executive OfficerKeith Bettencourt, Specialist Manager, Member SupervisionWyatt Hamilton, Associate Principal Risk
October 8, 2019FINRA President and CEO Robert Cook and Senior Vice President of Member Relations & Education Chip Jones was joined by Executive Vice President and Chief Legal Officer Bob Colby and Vice President and Associate General Counsel Jim Wrona to discuss the SEC’s Regulation Best Interest (Reg BI).Speakers:Robert Cook, FINRA President and Chief Executive OfficerChip Jones, Senior
