In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that it plans to certify a new participant to begin using FINRA’s Alternative Display Facility (ADF) for quotation and trading of CTA and UTP listed securities on or after Monday, March 27, 2023, subject to regulatory approval and related announcements.
Once certified
Hello, Thank you for opening this to comment. My only comment is that I second all of the comments regarding our markets being rigged. Please listen to retail, because without us (and we’re rapidly losing faith), even Citadel won’t be able to make markets. Be on the right side of history and protect our markets from not only 100%+ short positions, but more importantly, off-exchange trading via
When investing, one significant decision you’ll need to make is whether you want to follow an active or a passive investment strategy. Learn more about factors to consider when thinking about which strategy is right for you.
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President –
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
INFORMATIONAL
Imposition And Collection Of Monetary Sanctions
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The purpose
Jeffrey Kalinowski is Senior Vice President, Enterprise & Financial Solutions. In this capacity, he is responsible for the direction and oversight of FINRA’s Financial Reporting, Financial Planning & Analysis; Accounts Payable; Cash Management; Travel, Meetings & Conferences, and Investments & Treasury functions. Mr. Kalinowski joined FINRA in 2018, and
Sec. 2. (a) The Board shall have authority, upon notice and opportunity for a hearing, to cancel or suspend the membership of any member or suspend the association of any person associated with a member for failure to file, or to submit on request, any report, document, or other information required to be filed with or requested by the Corporation pursuant to these By-Laws or the Rules
Effective July 1, 2025, Prospective CAT Cost Recovery Fee 2025-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and Prospective CAT Cost Recovery Fee 2025-2 will be in effect.
