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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until July 20, 2022.
During my active registration, I served as a branch, complex, regional, divisional and national Director.. Much of my experience related to the opening and supervision of option transactions. Since my retirement in 2004, I have maintained an active expert witness practice, primarily working from the Plaintiff or Claimant perspective. I have consulted on more than 700 arbitration or court cases (
A SIMPLE SOLUTION I'm appreciative that FINRA and the SEC have considered the market implications of complex products and how they are offered to the investing community. There are certain products (i.e., leveraged and inverse ETF's) which investors should understand in more depth. That said, it is not appropriate for a third party to arbitrarily decide whether investors are capable of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision) to include calendar year 2022
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form users as
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure. This one-day conference brings together
Wednesday, March 30
All times are listed in Eastern Time
8:30 a.m. – 5:00 p.m. Registration and Cloud Computing & Cybersecurity Solutions Exhibitors
8:30 a.m. – 10:00 a.m. Networking Breakfast
9:30 a.m. – 10:45 a.m. Welcome Remarks and Trends in Cloud Technologies for Financial Institutions
Financial firms are gradually
Tuesday, March 29
All times are listed in Eastern Time
8:30 a.m. – 4:30 p.m. Registration and Cybersecurity Solutions & Cloud Computing Exhibitors
8:30 a.m. – 10:00 a.m. Networking Breakfast
10:00 a.m. – 10:45 a.m. Welcome Remarks and Keynote Address
10:45 a.m. – 11:00 a.m. Break
11:00 a.m. – 12:
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and
Lisa Arnesen is FINRA’s Vice President of People Analytics and Operations. In this role, Ms. Arnesen leads the strategic and operational support of all HR systems, as well as FINRA’s employee relations and people-focused data analytics and reporting functions.
Prior to joining FINRA in November 2021, Ms. Arnesen was Vice President of HR Operations at Erickson Living, where she was responsible