Public GovernorRetiredGovernor Since 2025Professional ExperiencePrincipal, Gaillard Group LLC (2022 – Present)Managing Director and General Counsel, Citadel Securities (2017 – 2022)Director, Division of Trading & Markets, U.S. Securities and Exchange Commission (SEC) (2014 – 2017)Partner, WilmerHale (2012—2014)Financial Industry Regulatory Authority (FINRA) (1996 – 2012)Vice
FINRA Entitlement Privacy Statement: Regulatory Users of Web CRD and IARD
Notice of FINRA District Committee Elections and Ballots
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 &
SUGGESTED ROUTING*
Senior ManagementInstitutional Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES or SOES Rules) proposed by the NASD to
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.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: MARCH 2, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section (c)(l)(B) of the Rules of Practice and Procedure governing the NASD's Small Order Execution System (SOES). One amendment would prohibit NASDAQ market makers from utilizing SOES to execute agency orders in securities in
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
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
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
