On January 21, 2025, certain TRACE Corporate and Agency and TRACE Treasury trades were incorrectly marked late in specific scenarios.FINRA will perform a data fix to remove the incorrect late flag from affected transactions. ADDS trade journals will be republished with corrected data and TRACE billing and report cards will incorporate the corrected data.
If you are thinking about rolling over money from your Thrift Savings Plan (TSP) into an IRA, take some time to consider your options—one of which is to stay put in the TSP, or even transfer money from another retirement account into your TSP.
Comments on Day Trading Disclosure StatementPlease see comments with underline or strikethrough.Day-Trading Risk Disclosure StatementYou should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the aggressive and regular transmission by a customer of intra-day
Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design and leadership effectiveness.Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in June 2020 from Gallagher, a Fortune
Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.Ms.
Ornella Bergeron is a Senior Vice President in Member Supervision, responsible for leading FINRA’s Risk Monitoring Program. The Risk Monitoring team is a member firm’s primary contact point at FINRA. Through its ongoing and proactive monitoring, Risk Monitoring enables FINRA to implement a risk-based program that effectively focuses its resources and regulatory responses on risks of concern. To
Andrew Meyers partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Mr. Meyers joined FINRA in June 2012 and was rehired in March 2020. Prior to returning to FINRA in 2020, he served in a similar capacity at Danone and Allegis Group. Throughout his
Jennifer Keating is FINRA’s Vice President of Total Rewards. In this capacity she designs, implements and manages FINRA’s compensation, recognition and benefits programs aimed at attracting and retaining skilled talent. Ms. Keating has over 30 years of experience in the human resources field, most of which have been spent with FINRA. She is a co-chair of FINRA’s Pension/401(k) Committee
Gina Petrocelli serves as a Chief Counsel in Enforcement. In that role, Ms. Petrocelli leads a main Enforcement team who work from FINRA’s Maryland and New York offices, pursuing disciplinary actions for sales practice, anti-money laundering, market manipulation and other regulatory violations. Ms. Petrocelli joined FINRA in 2010 and served as a Senior Counsel and Director in Main
I believe the PDT rule is unfairly restrictive to small investors. There is no way to learn without losing some trades. I have been trapped in losing trades trying to avoid triggering the PDT rule. Please get rid of this rule completely, as traders should be able to learn how to invest their own money at their own risk.
