As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
Sec. 3. (a) The Corporation after 15 days notice in writing, may suspend or cancel the membership of any member or the registration of any person in arrears in the payment of any fees, dues, assessments, or other charges or for failure to furnish any information or reports requested pursuant to Section 2 .
(b) The Corporation after 15 days notice in writing, may suspend or cancel the
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
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Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
Effective June 12, 1995, the Department of the Treasury (Treasury) is adopting amendments to Form G-405, Report on Finances and Operations of Government Securities Brokers and Dealers (FOGS Report), and to Form G-FIN-4, Disclosure Form for Person
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2
The purpose of this Election Notice is to distribute to FINRA Small Firm members1 ballots to elect the five regional members of the Small Firm Advisory Board (SFAB). The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA's Small Firm members.
Firms are urged to vote in this election. For a ballot to be considered
With a new year come new financial challenges, resolutions, and investment risks. On this episode, FINRA’s Head of Investor Education shares insights on leveraging market trends and tools to achieve your money goals in 2025.
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
