Geetha Ramachandran has spent her entire career working in the technology industry, and she’s passionate about innovation and finding solutions to complex problems. At FINRA, she leads teams in building and delivering enterprise solutions with a focus on automation and development operations. In part one of the three-part series, Tech Journeys: Women in Technology & the Evolution of the Industry, Geetha gives us a snapshot of her personal technology journey and how she’s kept up with innovations.
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
The staffs of the Division of Trading and Markets and the Office of General Counsel of the Financial Industry Regulatory Authority, Inc. have withdrawn the July 8, 2019 Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities.
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
FINRA is committed to ensuring that all respondents are treated fairly in expedited proceedings. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the process for expedited proceedings.
FINRA’s expedited proceedings are governed by the Rule 9550 series of FINRA’s Code of Procedure and FINRA Rule
Have you ever thought about how online stock trading works? Once you hit enter on an order to buy or sell a stock, what happens next? There might be more steps in the stock trade process than you realize.
FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period. Thirty-nine firms responded with submissions of
Sample Affidavit - Disciplinary
Sample Affidavit - Expedited
Sample Answer
Sample Case Caption - Disciplinary
Sample Case Caption - Expedited
Sample Case Management and Scheduling Order - Disciplinary
Sample Case Management and Scheduling Order - Expedited
Sample Certificate of Service
Sample Declaration - Disciplinary
Sample Declaration - Expedited
Sample Exhibit
Sample Financial
