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Dr. Cesar Escalante’s pioneering research into racial and gender biases in agricultural lending helped earned him the 2022 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, hear from Dr. Escalante about his research, his dedication to mentorship and more.
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009