Chief Executive OfficerPresident and CEO of FINRAGovernor Since 2016Committees: Executive Committee, Finance, Operations & Technology Committee, Compensation and Human Capital Committee (ex officio, non-voting member), Regulatory Policy Committee (ex-officio), Regulatory Oversight CommitteeProfessional ExperiencePresident and CEO, FINRA (2016 – Present)Partner, Cleary Gottlieb, Washington
Within the following videos, several members of FINRA’s advisory and regional committees, the National Adjudicatory Council (NAC) and the FINRA Board of Governors share their experiences serving on FINRA committees—including an overview of FINRA committee engagement, the benefits of participation and recommendations for how to get involved.What Are FINRA Committees?Members of FINRA’s various
Public GovernorRegional Vice President for Africa, International Finance CorporationGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceRegional Vice President for Africa, International Finance Corporation (2025 – Present)Vice President and Chief Risk, Legal and Administrative officer, Multilateral
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
FINRA Entitlement Privacy Statement: Regulatory Users of Web CRD and IARD
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 23, 2023. Please be advised that the TRFs will close early on Friday, November 24, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a principal to the trade and shall honor such trade on the scheduled settlement date.
Renumbered from Rule 7250C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021
NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
