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Displaying 21 - 30 of 6583 Results
Speech / Testimony
October 27, 2009
… Richard G. Ketchum Remarks by Chairman and CEO Rick Ketchum From the Securities Industry and Financial Markets Association (SIFMA) Annual Meeting October 27, 2009 As prepared for delivery Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of … impact on the broker-dealer and thus on investor protection. In addition, back in March, we established an Office of the Whistleblower to handle high-risk tips. And earlier this month, we announced the creation of …
News Release
June 30, 2021
… FINRA Orders Record Financial Penalties Against Robinhood Financial LLC robinhood, fine, Firm Ordered to Pay Approximately $70 Million for Systemic Supervisory Failures and Significant Harm Suffered by Millions of Customers WASHINGTON—FINRA announced today that it has fined Robinhood Financial LLC $57 million and … of our markets. Compliance with these rules is not optional and cannot be sacrificed for the sake of innovation or a willingness to ‘break things’ and fix them later,” said Jessica Hopper, Executive Vice …
News Release
February 17, 2011
… FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information Personal Records of Over One Million Customers Not Properly Safeguarded; Firm Credited for Response to Customers and Corrective … various sources and allowed employees to view the customer account information within a single site. Home office personnel from both firms could access the system either by clicking on a link on the firm's website or …
About FINRA
April 9, 2015
… Office of Hearing Officers Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining … persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s …
FAQ
… CRD - FAQ Branch Office Registration Branch Office Registration 1. What is the Form BR? Form BR is the Uniform Branch Office Registration form that … whereas “notice filing” typically refers to a process by which firms notify an SRO or jurisdiction of the existence of a branch office, but an approval is not required. Regulators that require “notice filing” …
Arbitration and Mediation
June 21, 2016
… Midwest Regional Office Guide FINRA Dispute Resolution 55 West Monroe Street Suite 2600 Chicago, IL 60603 (312) 899-4440 Email FINRA Dispute Resolution Office Information Conference and Hearing Rooms The Chicago Office has 8 conference rooms available with the … desk (during regular business hours). After hours: stop at security desk for instructions. Duplication of Audio Files: The Midwest Regional Office will provide copies of digital recordings. There is no charge for …
Arbitration and Mediation
June 21, 2016
… Southeast Regional Office Guide FINRA Dispute Resolution 5200 Town Center Circle Tower 1, 2nd Floor Boca Raton, Florida 33486 (561) 416-0277 Email FINRA Dispute Resolution Office Information Conference and Hearing Rooms The Florida Office of Dispute Resolution has 4 conference rooms available with the following capacity: Hearing Rooms Maximum …
Arbitration and Mediation
June 21, 2016
… New York Office Guide FINRA Dispute Resolution Services Brookfield Place 200 Liberty Street New York, NY 10281 (212) … ink board, easel, TV, VCR, or overhead projector. Delivery and Pickup: Anyone with pick-ups or deliveries of exhibits should notify FINRA with the information concerning what is being picked up or delivered. … These charges will be passed on to the party requesting the file. Off-Site Copying Service: FedEx Office 85 West Street New York, NY, 10006 (212) 964-4189 View Map (0.2 miles from office) Quality Imaging …
About FINRA
… Office of the Ombudsman FINRA's Office of the Ombudsman is an impartial, confidential and independent resource that works informally to assist in …
Rule Filing
May 21, 2020
… Zoom Security Features for FINRA Disciplinary Hearings with the Office of Hearing Officers FINRA offers video-conferencing through the Zoom platform, accessible via finra.zoom.us . … and Security Page or consult Zoom's Security Whitepaper . Zoom Process for Disciplinary Hearings with the Office of Hearing Officers Prior to the Proceeding FINRA’s Office of Hearing Officers provides ongoing support …