SUGGESTED ROUTING
Legal & ComplianceOperationsSystems Trading
As of October 27, 1994, the following 45 issues joined the Nasdaq National Market, bringing the total number of issues to 3,732:
Symbol
Company
Entry Date
SOES Execution Level
MTLG
Metrologic Instruments, Inc.
9/29/94
500
ALRM
Protection One, Inc.
9/29/94
1000
GCHI
Giant Cement Holding, Inc.
9/30/94
By Kara Williams and Gargi Sharma
Here is a look back at a few key topics related to anti-money laundering (AML) obligations that rose to the level of being included in FINRA’s 2023 Examination and Risk Monitoring Report. These threats continue to be prevalent today and remain as areas of focus for FINRA’s Complex Investigations and Intelligence (CII) section.
One was manipulative trading in
Gloria Dalton is Vice President and Head of the Office of International Affairs at FINRA. In this capacity, she leads and facilitates FINRA’s engagement with foreign regulators through bilateral cooperation, information-sharing and participation in multilateral organizations and regulatory forums. Her team also monitors global regulatory developments impacting firms, markets, and investors.
Richard W. Berry is Executive Vice President and Director of Dispute Resolution Services (DRS).
Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices-New York, Boca Raton, Chicago and Los Angeles-and the New York Case Administration unit.
Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute
Sec. 8.17 The Independent Agent shall count the votes received for each candidate in a district. The district-level candidates for the office of member of the Regional Committee receiving the largest number of votes cast by FINRA members eligible to vote in the district for the office shall be declared elected such that the number of candidates declared elected corresponds to the
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Whether you’re a military veteran or transitioning service member exploring new opportunities or a military spouse seeking a flexible career, the financial services industry offers many job paths. Get a head start today by taking the Security Industry Essentials® (SIE®) Exam.
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts
FINRA is making available in one place on its website a list of firms and individuals responsible for unpaid customer arbitration awards. FINRA is providing the information in this new format to provide greater transparency around those firms and individuals with unpaid arbitration awards and to make this information more readily accessible to investors. The information will also continue to
Dear Sir/Madam,
As an American Citizen, I should be able to invest in whatever public investment I choose.
I gave 30 years, putting my life on the line every single day, to protect the rights and freedoms of all American Citizens.
Those rights, that I fought so hard to protect, should not infringed upon. And if I want to invest MY own hard-earned money into something that I am fully capable of
Attention FINRA. I have been licensed in the business for more than a decade. I saw the collapse of the financial markets first-hand in 2007 to 2009 and none of it was due to retail investors breaking laws or taking risks. It was the institutions.
To restrict or prohibit an inverse ETF strategy is literally taking away the working class's means to invest in derivatives, which is an
