Industry Governor (Investment Company Affiliate)
President of Personal Investing, Fidelity Investments
Governor Since 2015
Committees: Executive Committee, Nominating & Governance Committee (Chair), Regulatory Policy Committee
Professional Experience
President of Personal Investing, Fidelity Investments (2009 – present)
CEO, Various Positions, ING U.S. Wealth Management (
September 19, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the SEC’s Regulation Best Interest (Reg BI) and Form CRS.Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Associate General Counsel, Office of General CounselNicole McCafferty, Senior Director,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
Executive Summary
On February 27, 2001, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2520 relating to margin requirements for day traders (the "amendments").1 The amendments become effective on September 28, 2001 and are substantially similar to amendments by the New York Stock Exchange (NYSE) to its
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
Summary
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
Agenda is subject to change.Wednesday, October 910:00 a.m. – 11:30 a.m.Limited Capacity Pre-event Workshop—Registration RequiredCybersecurity Incident Management WorkshopJoin us for a Cybersecurity Incident Management Workshop! As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years starting March 25, 2024. Learn more about Treasury securities and other bond types.Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P
