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Displaying 41 - 50 of 6583 Results
Interpretive Letter
July 9, 2008
… FINRA Office of General Counsel (Auction Rate Securities) Staff Interpretive Memo July 9, 2008 FINRA staff is issuing this memorandum to clarify certain questions that have arisen after the issuance of Regulatory Notice 08-21 (the Notice), in which FINRA provided guidance to its members on partial … Practice Policies, Member Regulation, at (646) 315-8599. … /rules-guidance/rulebooks/rule-letter/finra-office-general-counsel-auction-rate-securities … NASD Rule 2110 - Standards of Commercial Honor and Principles …
Rule
… <div class="indent_firstpara"> <strong>Sec. 8.3</strong>  Each regularly elected member of a <span class="us">Regional</span> Committee shall hold office for a "full term" which is the later of three years or until a successor is elected and qualified. Notwithstanding the term of office for a regularly elected <span class="us">Regional</span> Committee member, such member's term shall …
Arbitration and Mediation
… Western Regional Office Guide - Los Angeles - Transportation Information FINRA Dispute Resolution, Inc. 300 S. Grand Avenue … on Lower Grand Ave., use 4th St. or Kosciuszko Wy. to Olive St. Arbitration and Mediation Western Regional Office Guide - Los Angeles - Transportation Information Arbitration and Mediation … /arbitration-mediation/western-regional-office-guide-los-angeles-transportation-information … Arbitration and Mediation … Western Regional Office …
News Release
August 27, 2019
… FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement WASHINGTON — FINRA today … Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud …
Podcast
January 30, 2018
… A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs It is 2018. America is facing a wave of new government appointments and upcoming … Senate Banking Committee … podcast … Podcast … A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs …
News Release
July 5, 2018
… Compliance Risks and Costs WASHINGTON—FINRA is launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. Beginning on July 9, FINRA will perform a public … Individual Registration Central Registration Depository (CRD) Electronic Filing Requirements Operations Innovation Public Disclosure Program Reporting Electronic Filing Requirements Operations Innovation Public …
Podcast
November 12, 2019
… The Buildathon: Creating New Technology in Service of Investors Hackathons aren’t new. Silicon Valley has been using them for years and they’ve become … solutions. Joining us on this episode are: Kevin McGovern, managing partner of Deloitte’s New England office; Charles Senatore, senior advisor at Fidelity Investments' Devonshire Investors unit; and Haimera Workie, the head of FINRA’s Office of Financial Innovation. The Buildathon, part of FINRA’s Innovation Outreach Initiative, challenged some of the …
Speech / Testimony
November 11, 2015
… Thomas Gira Executive Vice President, Market Regulation Remarks From Baruch College’s Financial Markets Conference November 11, 2015 New York, NY Good morning. It’s a pleasure to be here. Let me … to talk with you this morning, and second, for his tireless work to foster a greater understanding of trading and securities market structure. As always, Bob has laid out a very thoughtful and provocative … promulgated by the SEC to create the National Market System have set the stage for the last 40 years of innovation in the markets. The pace of change since 1975 has accelerated through the decades, leading to what …
Rule
… <div class="indent_firstpara"> The present name of the corporation is <span class="us">Financial Industry Regulatory Authority, Inc.</span> (the "Corporation"). The Corporation was originally … Industry Regulatory Authority, Inc. </div> <div class="indent_firstpara" align="center"> <strong>Delaware Office and Agent</strong> </div> <div class="indent_firstpara"> <strong>Second:</strong> The registered office …
Investor Education
May 9, 2017
… 5 Ways Moms (and All Women) Can Take Charge of Their Financial Futures This year, you may have a few more reasons to celebrate Mom. The impact of women's earnings, … they make to their families, continues to grow. According to research by the Center for Talent Innovation, U.S. women now have decision-making power over more than $11 trillion, or 39 percent, of the …