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The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
The FINRA Midwest Region Networking Seminar is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
November 17, 2020
FINRA 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 Officer
Dave Chapman, Vice President of Market Analysis and Audit Trail Group
Industry Governor (Mid-size Firm Representative)
Co-Founder and President, Kovack Securities
Governor Since 2015
Committees: Nominating & Governance Committee, Regulatory Policy Committee
Professional Experience
Co-Founder and President, Kovack Securities (1997 – present)
FINRA District 7 Committee Member (2012 – 2014)
FINRA Regulatory Advisory Committee Member (2013)
FINRA
Sec. 2.1 The address of the registered office of FINRA Regulation in the State of Delaware and the name of the registered agent at such address shall be: Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808. FINRA Regulation also may have offices at such other places both within and without the State of Delaware as the Board may from time
Public GovernorVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank GroupGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
Thank you so much Lori for that kind introduction, and thank you, Mr. Chairman, for hosting this important program. I am thrilled to be here. And I want to add my welcome to Lori's and Chairman Cox's.
(a) Any Trade Reporting Facility Participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Symbol ("MPID") for purposes of reporting trades to a Trade Reporting Facility must submit a written request, in the form required by FINRA, to, and obtain approval from, FINRA Market Operations for such additional MPID(s).
(b) A Trade Reporting
Request for TRACE Reporting Exemption Under FINRA Rule 6732