Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Capital Acquisition Broker (“CAB”) Rule 331 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network’s (“FinCEN”) adoption of a final rule on Customer Due Diligence Requirements for Financial
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As of March 25, 1992, the following 63 issues joined the Nasdaq National Market, bringing the total number of issues to 2,766:
Symbol
Company
SOES Entry Date
Execution Level
LTCH
Litchfield Financial Corporation
2/25/92
1000
SCHL
Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a direct participation
Do not restrict my right to invest my hard earned money in whatever product I so choose. Leveraged, inverse, variable rate, option, etc. products are important tools for individual investors like myself. Individual investors can and do understand many complex investments and investment strategies. Individuals have to be allowed to make mistakes in life, including investments, as part of the
On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s National Financial Capability Study. However, the research also shows that Americans’ financial well-being remains uneven across different demographic groups.
Natalie Meyer is Senior Vice President, Chief Compliance Officer and Counsel in FINRA's Ethics and Compliance Office. In this role, Ms. Meyer oversees FINRA's Ethics, Compliance and Data Privacy Programs, as well as FINRA’s Oversight Liaison’s office. Additionally, Ms. Meyer is responsible for overseeing FINRA's Commercial Transactions Group in the Office of General
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As of June 20, 1997, the following bonds were added to the Fixed Income
February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
February 24, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss the 2021 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerThomas Mellett, Senior Director, ExaminationsSteven Polansky, Senior Director, Member
