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Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.
Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.
Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here’s how she’s doing it.
FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact.
What is FINRA’s Dispute Resolution forum? How might I end up with a case in arbitration or mediation? What does the process look like? FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more in this episode of FINRA Unscripted.
In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct.
(a) Any member firm, or applicant for membership under NASD Rule 1013 that is subject to a disqualification as set forth in Article III, Section 4 of the By-Laws of the Corporation (1) seeking to enter, or be continued in, membership; or (2) seeking to employ or continuing to employ as an associated person any individual who is subject to a disqualification from association with a member as
For Your Information
National Association of Securities Dealers, Inc.
March 1989
Series 7 Test Changes For March; Permanent Site Change in Anchorage
Memphis Test Site for March
The March 18, 1989, Series 7 exam in Memphis will be held at:
Sheraton Hotel300 N. 2nd StreetMemphis, TN
Atlanta Test Site for March
The March 18, 1989, Series 7 exam in Atlanta will be held at:
Georgia
For Your Information
National Association of Securities Dealers, Inc.
May 1989
Test Site Changes for May in Kansas, New York, Georgia, and Florida
New PLATO Test Centers in Kansas
Effective May 1, 1989, Control Data PLATO Development Centers began operating at the following locations:
Farmers State Bank Building, 718 MainStreet, Suite 202, Hays, KS 67601 (913) 232-1690.Epic Office Center,