Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Discover which firms and individuals faced disciplinary action in the month of April 2024. Stay informed on regulatory enforcement and compliance with FINRA.
Stay ahead of industry regulations. Find the most recently approved rule changes and their pending effectives dates. Ensure compliance and stay informed.
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
Julie Glynn is the Senior Vice President of Enforcement Legal. In this role, Ms. Glynn is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory Operations
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 27, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 26,
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
Transparency Services Legal Agreements
