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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. “Jack” Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA Chairman effective Aug. 15, 2016.
Brennan has served as FINRA’s Lead Governor since 2011 and succeeds Richard G. Ketchum as Chairman. His term will be effective upon Ketchum’s previously announced
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that two new public members have been appointed to its Board of Governors.
Heyman to succeed Jack Brennan effective July 18
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vice Chairman and Chief Investment Officer of The Travelers Companies, Inc., effective July 18. Heyman earlier served as a member of the FINRA Board from January 2004 through September 2016.
Heyman
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments.
Lehman Brothers Holdings Inc. (LBHI) has announced its decision to file for protection under Chapter 11 of the U.S. Bankruptcy Code.
"This blueprint marks an important beginning to a debate that is critical to the future of investor protection.
"Today's increasingly complex financial services landscape and fragmented regulatory environment has made it nearly impossible for the average investor to navigate the marketplace and fully understand the risks they may be exposed to and the protections they are entitled to.
Managing retirement income starts with knowing what your sources of income will be—from Social Security to an employer-sponsored retirement savings account like a 401(k)—and the rules that govern each income source.