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Settlements Reached with Six Member Firms Resulted in Nearly $17 Million in Restitution to 10,000 Harmed Customers
WASHINGTON—FINRA announced today that as a result of its targeted examination of Unit Investment Trust (UIT) early rollovers, FINRA has reached settlements with six member firms and obtained more than $16.8 million in restitution to approximately 10,000 investors. All of the firms,
Syndicated conservation easements (SCETs), which are a common type of charitable conservation contribution, top the 2021 “Dirty Dozen” list of tax scams published by the Internal Revenue Service (IRS) in July.
Board Approves Rule Proposals and FINRA’s 2022 Budget, Appoints SFAC and NAC Members
WASHINGTON – FINRA’s Board of Governors met on Dec. 1-2 in New York. During the meeting, it approved two rule proposals and FINRA’s 2022 budget, appointed members to the Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC), and received the results of recent SFAC and Regional Committee
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the provisions of FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) relating to seeking reimbursement from issuers for forwarding proxy and other materials and to make minor conforming revisions
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from December 31, 2021, to March 31, 2022.
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
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
Haimera Workie, Vice President and Head of Financial innovation, oversees the Office of Financial Innovation. In this capacity, he is responsible for leading FINRA’s Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an