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Displaying 11 - 20 of 6583 Results
News Release
January 19, 2017
… Gregory Dean Joins FINRA as Senior Vice President, Office of Government Affairs WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its …
About FINRA
June 8, 2017
… Office of the Chief Economist The Office of the Chief Economist was created in 2013 to conduct research and analysis in support of FINRA’s … special studies and evaluations, and participating in in-house training of staff on matters related to financial markets, market microstructure, and financial intermediation. The Office of the Chief Economist also …
News Release
March 5, 2009
… FINRA Announces Creation of "Office of the Whistleblower" Dedicated Team to Handle High-Risk Tips Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has established a new Office of the …
About FINRA
… Remote Branch Office Inspections Background Another issue we are studying through the lens of FINRA360 is branch office inspections. The responsibility of firms to supervise their associated persons is … to conduct a remote inspection of a "qualifying office." Previous: FINRA 2018 Annual Budget Summary and Financial Principles Up: Remote Branch Office Inspections Next: Enhancements to FINRA’s Disclosure Review …
News Release
February 11, 2015
… Erozan Kurtas Named Head of FINRA's New Office of Advanced Data Analytics WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Erozan Kurtas will join the organization …
Interpretive Letter
May 15, 2008
… Letter from FINRA Office of General Counsel, May 15, 2008 Staff Interpretive Memo May 15, 2008 FINRA staff is issuing this memorandum … which the letter was mailed. Firms have reported to FINRA that, due to recent extraordinary events in the financial markets, money market funds and, in particular, money market funds that describe themselves as …
News Release
November 30, 2011
… SEC Staff and FINRA Issue Risk Alert on Broker- Dealer Branch Office Inspections Washington, DC, November 30, 2011 — The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) today issued a Risk Alert and a Regulatory Notice on …
Podcast
May 26, 2020
… Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs Between the level of interconnectedness on the web and the sheer about of … only in the financial crimes area, but also was able to work overseas for the FBI. I ran a legal attaché office based out of the embassy in Berlin, and I also set up the FBI's sub office in the Netherlands, right …
Blog Post
June 10, 2020
… Artificial Intelligence: A New, Old Trend Transforming Financial Services June 10, 2020 Haimera Workie As far back as the 1940s, an artificial intelligence (AI) … that revolution is in many respects here. Not with a single, loud bang, but rather through a steady march of more readily available and inexpensive computing power, new innovations like cloud storage and massive … in understanding and facilitating these technologies and their impact on broker-dealer businesses. FINRA’s Office of Financial Innovation conducted an in-depth study over the past two years on the impacts AI is having …
Speech / Testimony
September 7, 2017
… W. Cook President and CEO Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee September 07, 2017 U.S. House of Representatives Chairman Huizenga, Ranking Member Maloney, and Members of the Subcommittee: On behalf of … mandate corrective action as needed. While the SEC has always supervised FINRA, in October 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) launched the FINRA and Securities Industry Oversight …