The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum—the Forum that brought together member firms to discuss clearing and introducing-related challenges and potential solutions. Hear the topics that were covered and key
Public GovernorKPMG LLP, Former Managing DirectorGovernor Since 2021Committees: Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperienceManaging Director, KPMG LLP (2014 – 2020)Deloitte & Touche Consulting Managing Director, Banking & Securities Regulatory Practice (2012 – 2014) Director, Governance, Regulatory &
Industry Governor (Large Firm Representative)Chairman, and Former President and Chief Executive Officer, Janney Montgomery Scott LLCGovernor Since 2018Committees: Conflicts Committee, Executive Committee, Finance, Operations & Technology Committee (Chair), Investment Committee, Regulatory Oversight Committee, Regulatory Policy CommitteeProfessional ExperienceJanney Montgomery Scott
Sec. 6. Notwithstanding Section 5 or Article XXII, the term of office of a Governor shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Governors, that: (a) the Governor no longer satisfies the classification for which the Governor was elected; and (b) the Governor's continued service as such would violate the compositional
The FINRA North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
Effective January 1, 2012, the webcast portion of the “What to Expect” series has been retired. However, the corresponding resource documents—which contain the same material and additional resources—remain available in PDF format.
The "What to Expect" series is aimed at taking the mystery out of key regulatory processes and making firms' interactions with FINRA more productive and
The FINRA New York Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and the
