Andrew Meyers partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Mr. Meyers joined FINRA in June 2012 and was rehired in March 2020. Prior to returning to FINRA in 2020, he served in a similar capacity at Danone and Allegis Group. Throughout his
(a) The Financial Industry Regulatory Authority, Inc. delegates to its subsidiaries, FINRA Regulation, Inc. and FINRA CAT, LLC (hereinafter "Subsidiaries"), the authority to act on behalf of FINRA as set forth in a Plan of Allocation and Delegation adopted by the Board of Governors and approved by the SEC pursuant to its authority under the
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
You need to increase fines for non-reporting of short positions. The current plan is not even comparable to a slap on the wrist for the large hedge funds. It would more than likely hurt them less to pay the fines than to actually report on their short positions. As for the frequency of reporting, daily with full transparency in all aspects of the market would be appreciated but impossible. Also
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
Dear FINRA, I am dismayed to hear of your plans to impose restrictions on the types of public investments that I can invest in. I am an adult and you are not my parents. I am capable of making my own decisions about what I buy and understanding what I buy. Even if I weren't, it is still wrong for regulators to try and decide who is able to participate and who is not. I urge you to
I have seen warning provided by the broker website on each buy trade. In addition I had to go through a risk signup document to confirm that I understand the risk.
Above steps are good way to provide disclosure on every trade.
However if the changes are being planned to make an investor go through certain tests then I think that is excessive, and would not appreciate putting such restrictions.
I have held these type of investments in my portfolio for many years.These funds are a limited percentage of my portfolio. However, they have enhanced my bottom line significantly. Regulators have absolutely no business restricting me on my investment decisions. What makes you think that you can make better financial decisions than I can? Further, I make all of my own investment choices and
