The FINRA Board of Governors will hold its first meeting of the year next week. As the capital markets landscape continues to evolve through new products, new technologies and new services being offered to investors, the Board will discuss how FINRA should evolve as well to support innovative and vibrant markets and capital formation while protecting investors and safeguarding market integrity.
Public GovernorVice President, Governance Studies, Brookings InstitutionGovernor Since 2019Committees: Conflicts Committee, Executive Committee, Finance Operations & Technology Committee, Investment Committee, Nominating & Governance Committee (Chair), Regulatory Oversight CommitteeProfessional ExperienceBrookings Institution (2017 – Present)Deputy CEO/Chief Innovation Officer,
Discussing money management and investing strategies might not seem romantic, but managing a relationship is hard enough without having to fight about money. If you’re thinking of marriage or a long-term partnership, it’s important to discuss financial goals, savings, investment strategies and risk tolerance levels.
Did you know that you can set aside pre-tax dollars for “qualified medical expenses” to pay for outlays not covered by your health insurance plan? Health savings accounts (HSAs) are investment accounts and contributions don’t count toward your adjusted gross income at the end of the year, but there are rules.
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies.
The Small Firm 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.
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
