Please begin to investigate naked shorting that results in FTD’s and synthetics shares being over traded in AMC & GME stock symbols. Shorts need to cover their margin requirements instead of swapping futures in the derivatives market.
Financial institutions have an obligation to safeguard your personal financial information, but you have an important role to play as well. Understanding how customer account takeover incidents and theft of personal financial information might occur and taking steps to minimize your risk can make a difference.
WASHINGTON—FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who currently reports to Havlik and serves as EVP and leader of FINRA's National Cause and Financial Crimes Detection Program (NCFC), on November 1st. She will remain an adviser to Ruppert to assist with
September 28 – 30, 2021
Agenda
Tuesday, September 28
12:30 p.m.
NEW Keynote Address: The Honorable Joyce Beatty (D-OH), Chair, U.S. House of Representatives Subcommittee on Diversity and Inclusion
Congresswoman Joyce Beatty (D-OH) chairs the Subcommittee on Diversity and Inclusion of the House Financial Services Committee and this year became the 27th chair of the historic 58 member
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP