(a) Authority
A Counsel to the National Adjudicatory Council shall have authority to take ministerial and administrative actions to further the efficient administration of a proceeding, including the authority to:
(1) direct the Office of Hearing Officers to complete and transmit a record of a disciplinary proceeding to the National Adjudicatory Council in accordance with Rule 9267
No person shall participate as an Adjudicator in a matter governed by the Code as to which he or she has a conflict of interest or bias, or circumstances otherwise exist where his or her fairness might reasonably be questioned. In any such case the person shall recuse himself or herself, or shall be disqualified as follows:
(a) FINRA Board
The Chair of the FINRA Board shall have
OTCE Equities Notifications
A critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relating to FINRA's rules. OGC staff provides such guidance both orally and in writing.
Background
In March 2017, FINRA's Board of Governors established a new standing committee, the Regulatory Operations Oversight Committee (ROOC), to advise and assist the Board in providing oversight on FINRA's regulatory operations, and supplementing FINRA's broader self-evaluation through FINRA360. This includes providing guidance on the full breadth of FINRA's regulatory
Chief Executive OfficerPresident and CEO of FINRAGovernor Since 2016Committees: Executive Committee, Finance, Operations & Technology Committee, Compensation and Human Capital Committee (ex officio, non-voting member), Regulatory Policy Committee (ex-officio)Professional ExperiencePresident and CEO, FINRA (2016 – Present)Partner, Cleary Gottlieb, Washington, D.C. (2013 – 2016)Director of
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of November 23, 1998, the following bonds were added to the Fixed
Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
