I am writing to respectfully request your attention to an issue I have encountered regarding the process for obtaining a waiver for individuals like myself who have held multiple FINRA licenses in the past but whose registrations have expired due to factors outside of their control.I have held several FINRA licenses dating back to 1998 (please refer to the attached report for details). In 2013, I
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to add new FINRA Rules 12808 and 13808 (Accelerated Processing) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.
Tigran Khrimian is Chief Technology Engineering Officer responsible for driving technology strategy, enhancing product development, fostering innovation, and ensuring technological capabilities align with FINRA's business goals.Mr. Khrimian oversees a portfolio of 200+ products, exabyte scale data footprint in the Cloud and AI to analyze and extract insights from the data. He played a
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The proposal is a step in the right direction but could be simplified to make it easier to read in conjunction with other rules. I think it needs more explanation as to the historical reasons behind distinguishing between registered persons and associated persons, and clarification in other rules like 3210 where they are referred implicitly by the rule saying "No person associated with a
As of March 14, 2025, Texas’ and Washington’s Form BR settings were updated to reflect that they now accept Residential Supervisory Locations.
