Displaying 27461 - 27470 of 34836 Results
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error.
Firms should contact FINRA Market Operations or call (866) 776-0800; Option 2, with questions or for assistance in setting up new issues. FINRA will advise when this issue has been resolved.
WASHINGTON—FINRA announced today that it has appointed Bill St. Louis to Executive Vice President and Head of its National Cause and Financial Crimes Detection Program (NCFC). St. Louis, currently Senior Vice President and Firm Group Leader in FINRA’s Member Supervision department, will begin his new role on December 13 and report to Greg Ruppert, Executive Vice President and Head of Member
Summary
FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials.1 As specified in more detail below, the amendments apply the notice and access fees set forth under the rule to the distribution of investment company shareholder reports and
I strongly oppose my right to invest. I oppose having to pass a regulator-imposed test of your specialized investment knowledge. I oppose having to demonstrate a high net worth in order to invest. I oppose getting special approval from a broker.