Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for women, millennials, African-Americans, Hispanics and those without a high school education, according to the NFCS, one of the largest and most comprehensive financial capability studies in the United States. The study measures four key components of financial capability—making ends meet,
Top 10 Financial Capability
Rate of Change: Interest Rate Cycles Since the 1970s
Cybersecurity and the Financial Industry
The Fine Print on Real Estate Investment Trusts
Looking for One in a Billion
High Frequency Trading
If you want to use any of these infographics, please contact FINRA's Office of Media Relations at (202) 728-8379.
FINRA has updated the TRACE for Treasuries User Guide to coincide with the addition of an “All-In Price” field. This field will be located in the Matched and Unmatched Screens on the TRAQS website beginning Monday, June 3, 2019. The new field will display the All-In Price of the matched or unmatched transaction; this price is inclusive of commission, and the field is view-only. No direct input is
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly.
Along with their responsibilities to the securities industry, FINRA employees have responsibilities to all of FINRA’s other
Karl Brock is Senior Vice President, Technology. In this capacity, he oversees strategy, development, support, and operations of enterprise application platforms and is the primary technology executive for the Enforcement, Advertising Regulation, Corporate Financing, Office of General Council and corporate systems.
Mr. Brock has been with FINRA since 2015 as an employee. He previously worked
Michael Dillon, Senior Vice President, Enterprise Delivery Services, oversees FINRA’s assurance, engineering, user experience, operations, development tools and application support services.
Before joining FINRA in February 2006, Mr. Dillon served as the Corporate Director of Quality Assurance for a full-service contractor that specialized in large-scale information systems serving customers
Ivy Ho, Vice President of Technology, leads product development of a diverse portfolio of applications for FINRA’s external stakeholders including FINRA member firms, the Securities and Exchange Commission, other regulators and the public.
Before joining FINRA in 2003, Ms. Ho spent seven years in leadership roles consulting with large corporate clients in delivering innovative technology
Tigran Khrimian is Senior Vice President of Enterprise Data Platforms and Business Applications, responsible for technologies that optimize the collection and management of data to maximize its value for FINRA regulatory decision making and Industry compliance.
Mr. Khrimian oversees Big Data technology that processes and analyzes as much as 500+ billion market events daily from exchanges, broker
