Guidance on FINRA’s Suitability Rule
Notice of FINRA District Committee Elections and Ballots
Public GovernorManaging Partner, Siempre Holdings LLCGovernor Since 2022Committee: Compensation & Human Capital CommitteeProfessional ExperienceManaging Partner, Siempre Holdings (2001 – present)Managing Director, Yahoo! Inc. (1997 – 2001)Director, The British Broadcasting Corporation (BBC Worldwide) (1995 – 1997)Senior Operating Roles, Bertelsmann SE & Co. KGaA (BMG
1. When are books, records and accounts under the “control” of a member firm, associated person or person subject to FINRA’s jurisdiction?
For purposes of Rule 8210, whether a particular document is within a member firm’s or person’s “control” is determined by the facts and circumstances of each situation. Generally, a document will be considered to be in the control of a member firm or person
Notice of FINRA Regional Committee Elections and Ballots
Nomination of a Small Firm NAC Member Candidate
When a company files for bankruptcy protection, chances are its shares will lose most, if not all, of their value. Here’s a look at what shareholders can expect and why it’s so risky to trade in the delisted shares of bankrupt companies.
Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
This proposal will blatantly continue to negatively impact small member firms that do not have neither the current infrastructure, capital or staffing levels to accommodate this significant of a change to their reporting structure. The continued demise in the number of FINRA-registered small firms, which benefits the largest firms with additional greater market share, provides the cover for the
