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
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Filing Guidance - Public Offering Review
A move to block the public from investing in leveraged and inverse investments comes across as yet another disturbing example of moves to give the financial elite greater opportunities than the average person. Rather than making the excuse that you are trying to protect the public from themselves, it gives the financial elite who would continue to have access to these sorts of investments
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat.
By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading DetectionFINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide — over 450 referrals in 2023 alone — routinely result in criminal and
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As of June 20, 1997, the following bonds were added to the Fixed Income
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
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,
January 12, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision senior staff to discuss the 2023 Report on FINRA’s Examination and Risk Monitoring Program. Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Vice President, Member Supervision Regulatory Advisor and
