Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
Notice of Annual Meeting of FINRA Firms and Proxy
Did you receive an unexpected check in the mail and think, “Great! Free money?” Not so fast. Cashing that unexpected “windfall” may result in losses, reveal your personal financial information to scammers, or both.
On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA’s Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital Markets Office as it develops new policy initiatives, provides counsel to the Department of Market Regulation and Transparency Services, and supports the fixed income examinations of the Member Supervision Department. She also provides
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Rule 3500 Series (Emergency
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In May 2004, NASD issued Notice to Members 04-37 regarding
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulatory Notice 24-02 which includes Residential Supervisory Location and the Remote Inspections Pilot ProgramSpeakers:Robert Cook, FINRA President and Chief Executive OfficerEric Chandler, Vice President, Member SupervisionKosha Dalal, Vice President
Investors should be able to determine for themselves whether or not particular investments are appropriate for my or my family's investment goals. It suffices for investors to know that ANY security poses inherent risks, or more often, volatility.
The ability to invest freely is a necessary component of Americans' financial security: Social Security and pensions often are
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
