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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
Industry Governor (Investment Company Affiliate)General Counsel, J.P. MorganGovernor Since 2024Committee: Regulatory Policy CommitteeProfessional ExperienceGeneral Counsel, J.P. Morgan Chase Commercial & Investment Bank (2015 – Present)Partner, Skadden, Arps, Slate, Meagher & Flom LLP (2004 – 2009 and 2014 – 2015)Assistant Secretary for Financial Institutions, U.S. Department of
Public GovernorRetiredGovernor Since 2022Committees: Compensation & Human Capital Committee (Chair), Executive Committee, Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperienceMAK Management Consulting (2016 – 2022)Morgan StanleyCo-CIO and Managing Director, Global Technology (2013 – 2016)Managing Director and CIO – Wealth and Investment
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions.In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with
With the technology today and the money that's being made in the markets by all parties, except for retail traders who get the shaft when it comes to getting "free" trades. Even by the sanctioning bodies that are supposed to over watch all of it's "members" and the standards upon which they are held, are not doing their jobs. Not REQUIRING that all members to report
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 SeriesEligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr
Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
