Comment Period Expires January 17, 1995
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Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance
Executive Summary
The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
Summary
FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account through identity theft.
The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and
Capital formation is the lifeblood of a thriving economy. It fuels business growth, innovation, and job creation. In the United States, however, an outdated and increasingly overreaching regulatory framework—specifically SEC Rule 15c2-11—has become a barrier rather than a bridge to economic vitality. Originally intended to protect investors from fraudulent or opaque over-the-counter (OTC)
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’s Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herald & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.
Use FINRA’s Tools and Calculators to help you make informed financial decisions based on your own personal circumstances and financial needs.
