The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
Industry Governor (Floor Member)PresidentUBS Securities LLCGovernor Since 2024Professional ExperiencePresident, UBS Americas (2022 – present)Federal Reserve Bank of NY (2021 – 2022)Morgan Stanley Wealth Management (2016 – 2020)Current Board Service and AffiliationsBoard Member, Partnership for New York CityBoard Member, American Swiss Foundation BoardBoard Member, Ownership WorksEducationMBA,
Regarding TSO- It is irresponsible to allow trading over and above the TSO. This amounts to trading synthetic shares that do not exist and allows market makers to game the system. Not having accurate and timely TSO information and control in a market where brokers have the ability to perform thousands of trades per second is unacceptable and amounts to a failure in duty. On market makers who act
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1
Public GovernorManaging Partner, Siempre Holdings LLCGovernor Since 2022Committee: Compensation & Human Capital CommitteeProfessional ExperienceManaging Partner, Siempre Holdings (2001 – present)Managing Director, Yahoo! Inc. (1997 – 2001)Director, The British Broadcasting Corporation (BBC Worldwide) (1995 – 1997)Senior Operating Roles, Bertelsmann SE & Co. KGaA (BMG
FINRA is incorporating into its rulebook the rules of New York Stock Exchange LLC ("NYSE") listed below (the "Incorporated NYSE Rules"). The Incorporated NYSE Rules will apply solely to those members of FINRA that are also members of NYSE on or after July 30, 2007 ("Dual Members"), until such time as FINRA adopts a consolidated rulebook applicable to all of its
INFORMATIONALOptions ExemptionSUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperations ManagersSenior Management Options ExemptionTrading Activity Fee Executive SummaryOn May 30, 2003, the Securities and Exchange Commission (SEC or Commission) permanently approved revisions to NASD By-Laws, eliminating the current Regulatory Fee assessed upon NASD members
The term "the Exchange," when used with reference to the administration of any rule, means the New York Stock Exchange LLC or the officer, employee, person, entity or committee to whom appropriate authority to administer such rule has been delegated by the Exchange.
Unless otherwise indicated in the rule, the terms Board, Board of Directors, Chairman, Chairman of the Board, Chief
November 17, 2020FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by FINRA staff to discuss FINRA updates and technology changes including CE Transformation, FINRA Gateway and CAT.Speakers:Robert Cook, FINRA President and Chief Executive OfficerDave Chapman, Vice President of Market Analysis and Audit Trail GroupNoah Egorin
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
