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Terrence Bohan is the Vice President of Investigations for Enforcement. In that capacity, he manages Enforcement's investigators located throughout the various FINRA offices nationwide as they investigate potential securities violations and, when warranted, bring formal disciplinary actions against firms and their associated persons. Mr. Bohan also oversees the Forensic Investigations and
Bill Wollman is Executive Vice President, Office of Financial and Operational Risk Policy. In this role, he is responsible for FINRA’s policy and rulemaking efforts relating to broker-dealer financial responsibility rules, operational issues, customer protection requirements and margin standards. Mr. Wollman is one of the senior leaders who is responsible for leading FINRA’s response to firms
Ola Persson is Senior Vice President and head of Transparency Services. He is responsible for all business, technology and operational aspects related to FINRA's fixed income and equity trade reporting and quotation facilities (TRACE, ADF, ORF, OTCBB and the TRFs).
Mr. Persson joined FINRA in 2004, with responsibilities for the fixed income (TRACE) program. Prior to joining FINRA, Mr.
Derek Linden is the Executive Vice President for Credentialing, Registration, Education and Disclosure (CRED). In this role, he leads FINRA's registration, disclosure, testing and continuing education programs for the securities industry (Central Registration Depository (CRD), BrokerCheck and CE Online) and the delivery of similar programs for the SEC (Investment Adviser Registration
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
Patrice Gliniecki is Senior Vice President and Deputy General Counsel. In this capacity, she manages FINRA’s Office of General Counsel’s Regulatory Practice and Policy Group, which is responsible for the rulemaking and interpretive functions for the organization. She also serves as the Chief of Staff of FINRA’s Chief Legal Office.
Prior to joining FINRA in 1999, Ms. Gliniecki worked for six
Jennifer Piorko Mitchell is Vice President of Corporate Governance and Deputy Corporate Secretary. In this position, she assists in coordinating all activities of FINRA’s Board of Governors and manages the activities of the Office of the Corporate Secretary (OCS), including overseeing FINRA’s corporate elections. Ms. Mitchell also serves as the Secretary of the FINRA Investor Education Foundation
Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic
FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.
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