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
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Senior Management
Legal & Compliance
Executive Summary
On August 7, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Code of Procedure setting forth, among other things, general procedures for
Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
I am strongly opposed to any regulations that restrict my ability to buy or sell any form of financial security. Only I truly know what is best for my financial stability and what I am and am not able to participate in. Financial advice is one thing, and I am always open to such, as well as additional education and training, but at the end of the day I should be free to make my own choices when
The number of arbitrators appointed to a case depends on the amount and type of relief requested in the Statement of Claim.
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
