Good evening. Thank you, Terri [Polley], for that introduction.
It’s a pleasure to be here with you this evening to talk about our shared interests, one of which is ensuring investors have accurate and reliable financial information to better inform their decisions. I don’t need to tell you how inaccurate information—whether because of weak or inconsistent accounting standards, poor customer
A Report on FINRA’s Financial Planning and Annual Budget
(a) All capital acquisition brokers are subject to paragraphs (a)(1) through (a)(6), (b)(1), (b)(4), (b)(5), (b)(7), (e) and (f) of FINRA Rule 3110, and Supplementary Materials .01 through .03, .06 through .09, and .11 following FINRA Rule 3110.
(b) A capital acquisition broker must permit the examination and inspection of its premises, systems, platforms, and records by representatives of FINRA
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
Your credit score is a picture of you as a credit risk to the lender at the time of your application.
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
Chairman Kanjorski, Ranking Member Garrett and Members of the Subcommittee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
<p>Clarification of application of OATS rules to customer allocations of executions.</p>
