FINRA In-Person Disclosure Reporting Boot Camp
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases; Effective Date: November 24, 2008
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
The Outside Business Activities and Private Securities Transactions section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Leveraged and Inverse funds play an important role in managing my clients aum. I use them to hedge in down markets like the one we are currently experiencing. I understand their role in an overall investment approach. I use these funds only under specific circumstances and only with high networth clients.
I need these alternatives in order to provide the most complete range of services to help my
Industry Governor (Floor Member)PresidentUBS Securities LLCGovernor Since 2024Professional ExperiencePresident, UBS Americas (2022 – present)Federal Reserve Bank of NY (2021 – 2022)Morgan Stanley Wealth Management (2016 – 2020)Current Board Service and AffiliationsBoard Member, Partnership for New York CityBoard Member, American Swiss Foundation BoardBoard Member, Ownership WorksEducationMBA,
December 12, 2023Kayte Toczylowski, Vice President of Member Relations and Education, hosts senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.Speakers:Kayte Toczylowski, Vice President, Member Relations and Education Stephanie Dumont, Executive Vice President, Market Regulation and Transparency ServicesBill St. Louis, Executive Vice
Public GovernorBrandEmPower, Inc.Governor Since 2023Committees: Finance, Operations & Technology Committee, Investment Committee (Chair), Nominating & Governance CommitteeProfessional ExperienceCo-CEO, BrandEmPower, Inc. (2021 – present)CIO, Vanguard (1987 – 2012)Current Board Service and AffiliationsInvestment Committee & Audit Committee Member, PGA of
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Beginning Wednesday, September 30, 2020, the FINRA OTCE (otce.finra.org) and OTC Transparency Data (otctransparency.finra.org) websites will support only TLS version 1.2 encryption standards. This change is being made to improve website security by enforcing TLS 1.2 or higher encryption for all data in transit.
Users that try to access either the OTCE or the OTC Transparency Data
