Public GovernorFormer Chair and CEO, Ontario Securities CommissionGovernor Since 2020Committees: Audit & Risk Committee, Executive Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (Chair)Professional ExperienceOntario Securities CommissionFormer Chair and Chief Executive Officer (2016 – 2020)Executive Director &
Industry Governor (Floor Member)PresidentUBS Securities LLCGovernor Since 2024Professional ExperiencePresident, UBS Americas (2022 – present)Federal Reserve Bank of NY (2021 – 2022)Morgan Stanley Wealth Management (2016 – 2020)Current Board Service and AffiliationsBoard Member, Partnership for New York CityBoard Member, American Swiss Foundation BoardBoard Member, Ownership WorksEducationMBA,
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
Sign In With GoogleThe social login feature allows public/individual authenticated users who require an account to access FINRA’s systems to register and log in using their existing Google account credentials. Social login makes the onboarding process easy and simplifies the authentication process by using user’s existing Google account information and credentials. This eliminates the need for
FINRA encourages comments on this paper, including areas where FINRA may:offer guidance or modifications to its rules to address the adoption of quantum computing;foster greater crypto agility within firms to prepare for post-quantum cryptography; andseek to prepare for a quantum future while maintaining investor protection and market integrity.FINRA also seeks input from financial industry
FINRA customers using a VPN to access the MPP products’ (ADF, ORF, TRACE, TRF) FINRA test network (NTF) will be required to make a configuration change by close of business, May 3, 2024.
Alan Lawhead is Vice President and Director of the Appellate Group. He leads a group of appellate attorneys who defend FINRA's decisions that are on appeal to the Securities and Exchange Commission. The Appellate Group also provides legal advice to FINRA's appellate body, the National Adjudicatory Council, in the following areas: appeals of Hearing Panel disciplinary decisions;
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
There are a lot of ways to gain exposure to precious metals such as silver, gold, palladium and platinum. But investing in the physical metal can carry a lot of allure for some investors. It can also come with a lot of risks.
