Gregory J. Dean, Jr. is Senior Vice President of the Office of Government Affairs.
Before joining FINRA, Mr. Dean was Senior Director of Regulatory & Government Affairs at the Royal Bank of Canada (RBC). Before joining RBC in 2015, he served for more than 14 years in a variety of roles on Capitol Hill, including serving as Chief Counsel for three separate committees in the U.S. Senate
INFORMATIONAL
Subordination Agreements
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Executive Representatives
Legal & Compliance
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Appendix D to the Net Capital Rule
Net Capital
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Subordination Agreements
Subordinated Loans
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
I truly feel that this new regulation would severely damage any investor that is interested in securing his or her financial future.
Cryptocurrency is the one financial vehicle that is not only affordable to ANY investor regardless of the amount of wealth they may have but that can change an investors financial status overnight.
It is no more risky, than any stock an investor may buy or trade
Dear FINRA: Firstly, I would like to thank you for giving the investor community an opportunity to be heard. For countless years, the investor community is deeply frustrated over the continuous manipulation of our financial system. I would like to address the following deep rooted issues regarding short selling within our financial system, and suggest possible solutions to mitigate risk in the
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3.
Industry Board Member (Large Firm Representative)Chief Operating Officer, Stephens Inc.Board Member Since 2025Professional ExperienceStephens Inc.Chief Operating Officer (2023 – Present)EVP Head of Investment Banking (2015 – 2023)Director of Research and Co-Head of Investment Banking (2007 – 2015) Current Board Service and AffiliationsBoard Member, Little Rock Athletic ClubsBusiness
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
