Notice of FINRA District Committee Elections and Ballots
Notice of SFAB Election and Ballots
Proposed Rule to Establish Fees for Funding Portals
Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
FINRA is pleased to announce the U.S. Securities and Exchange Commission's recent approval of FINRA's proposal to expand its transparency initiative for over-the-counter (OTC) equity securities.
Dissemination of Qualified Contingent Trades Reported to FINRA
Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
FINRA announced today that it has expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief Compliance Officer Ronald Heineman from the securities industry, for fraud, sales practice abuses, and widespread supervisory and anti-money laundering failures.
More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
Gregory J. Dean, Jr. is Senior Vice President of the Office of Government Affairs.
Before joining FINRA, Mr. Dean was Senior Director of Regulatory & Government Affairs at the Royal Bank of Canada (RBC). Before joining RBC in 2015, he served for more than 14 years in a variety of roles on Capitol Hill, including serving as Chief Counsel for three separate committees in the U.S. Senate
