June 6, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss senior and at-risk investors.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrooke Hickman, Director, Member SupervisionChristine Kieffer, Senior Director, Investor EducationKayte Toczylowski, Vice President, Member
The FINRA Board, the National Adjudicatory Council, a Hearing Officer, or any other Adjudicator shall have full authority, except as otherwise provided by the Code, to rule on a procedural motion and any other procedural or administrative matter arising during the course of a proceeding conducted pursuant to the Code, subject to the rights of review or appeal provided by the Code.
April 24, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulation Best Interest.Speakers:Robert Cook, FINRA President and Chief Executive OfficerAndrew McElduff, Vice President, Member SupervisionNicole McCafferty, Vice President, Member SupervisionKayte Toczylowski, Vice President, Member
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change to Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Short interest should not be self reported. Needs to be transparent and reported daily. FTD's should cause HEAVY fines. I mean, HEAVY. Maybe 50% of annual profit of a company. Naked shorts need to be investigated, openly disclosed to the public and result in heavy monetary penalties, as well as temporary ban from trading a particular security (maybe 30 or 90 days ban). High frequency trading
Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
