Sec. 3. The Board may employ or authorize the employment and prescribe the powers and duties of such agents and employees as it deems necessary or advisable. The employment and compensation of such agents and employees shall be at the pleasure of the Board, provided that such determinations are not inconsistent with the requirements of the Delegation Plan. Except as provided in Article
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
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
Obama make the comment that most Americans are too simple minded to govern themselves. It made many of us who heard it furious. The fact is you have stolen our power away from us. We dont feel that our government was supposed to get so large. Yall did it to protect yourselves from the people you work for and to cover things yall do. The tax payers are now burdened by big government and we think
The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
I not a regulator should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. Wall Street financial advisors are a joke. Anyone can lie the way they do to their clients. I should have access to the same financial products they do. I can decide my financial future better than anyone. Precluding the
In 2019, FINRA assessed firms’ senior investor protection programs, including their implementation of the FINRA Senior Exploitation Rules. In particular, FINRA evaluated how firms addressed risks relating to senior investors in their policies and procedures; gathered trusted contact person information; developed training relating to senior investors; implemented systems to escalate financial
Comments:
While optics are ever present around good consumer advocacy policy, creating regulatory burden is not a good way to go about this.
In the strong capitalistic financial environment that the US exists in, retail investors should have the ability to put their money in Leveraged-Inverse ETFs if they so choose as long as they are aware of the long-term risks of holding such financial
SummaryEffective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.Questions regarding this Notice may be directed to: Amanda Rath, Associate Director, Finance, at (240) 386-
