As the head of FINRA’s National Examination Program, Michael Solomon oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program.Mr. Solomon is responsible for overseeing all aspects of the Examinations program, including strategic
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
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INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in Districts 2 through 9, and in District
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
FINRA provides dispute resolution services for several exchanges that are not able to staff or operate a dispute resolution program. These services include administration of the exchange's member-member, member-investor and member-employer securities-industry related disputes.
Equity Securities as Compensation for Capital Acquisition Brokers
