SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the Nasdaq system will be closed on Monday, February 18, 1991, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
Form CRS Instructions
17 CFR 240.15l-1
Regulation Best Interest
17 CFR 240.17a-3
Records to Be Made by Certain Exchange Members, Brokers and Dealers
17 CFR 240.17a-4
Records to Be Preserved by Certain Exchange Members, Brokers and Dealers
17 CFR 240.17a-14
Form CRS, for Preparation, Filing and Delivery of Form CRS
17 CFR 249.641
Form CRS, Relationship Summary for Brokers and Dealers
Industry Governor (Independent Dealer/Insurance Affiliate Governor)
President and CEO, Cambridge Investment Research, Inc.
Governor Since 2017
Committees: Regulatory Oversight Committee
Professional Experience
President and CEO, Cambridge Investment Research, Inc. (1998 – present)
Director, SunAmerica Securities, Inc. (1995 – 1998)
Operations Principal, Coordinated Capital
/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those who are handling the member organization's long distance wires and those on the trading desks must in particular exercise a high degree of individual responsibility as their
FINRA may, pursuant to the procedures set forth in the Rule 9000 Series, suspend, condition, limit, prohibit or terminate a Trade Reporting Facility Participant's ability to use FINRA/NYSE Trade Reporting Facility services in one or more designated securities for violations of applicable requirements or prohibitions.
Renumbered from Rule 6360C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Public GovernorBrandEmPower, Inc.Governor Since 2023Committees: Finance, Operations & Technology Committee, Investment Committee (Chair)Professional ExperienceCo-CEO, BrandEmPower, Inc. (2021 – present)CIO, Vanguard (1987 – 2012)Current Board Service and AffiliationsInvestment Committee & Audit Committee Member, PGA of AmericaInvestment Committee Member, Wilkes
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsMunicipalSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, September 3, 1990, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the
SUGGESTED ROUTING*
Iternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Wednesday, July 4, 1990 in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, May 28, 1990 in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
