Industry Governor (Small Firm Representative)President and CEO, Bley Investment Group, Inc.Governor Since 2018Committees: Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperiencePresident and CEO, Bley Investment Group, Inc. (2021 – Present)President, CFO, CCO, McLaughlin Ryder Investments, Inc. (2020 – 2021)Executive Vice President,
General1. Q: Why does FINRA publish the Sanction Guidelines?A: FINRA publishes the Sanction Guidelines to familiarize member firms and associated persons with the disciplinary sanctions that could result from typical securities industry rule violations.2. Q: Who develops the sanctions and fines?A: The National Adjudicatory Council (NAC), the appellate body for FINRA disciplinary actions
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, March 29, 2024.
The National Adjudicatory Council (NAC), has developed the FINRA Sanction Guidelines for use by the various bodies adjudicating disciplinary decisions, including Hearing Panels in FINRA’s Office of Hearing Officers and the NAC itself (collectively, the Adjudicators), in determining appropriate remedial sanctions. FINRA publishes these Sanction Guidelines so that members, associated persons and
SEC Approves New Supervision Rules
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading DetectionFINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide — over 450 referrals in 2023 alone — routinely result in criminal and
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
As part of our mission to protect investors and safeguard market integrity, FINRA monitors and assesses FINRA-registered firms and their registered representatives through our Examination and Risk Monitoring programs.How We Do our WorkOur Exam and Risk Monitoring programs are a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of
2023 GOVERNANCE/ELECTION NOTICESTITLEDATE POSTEDFINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments12/22/2023Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat11/15/2023Notice of SFAC Election and Mailing of Ballots10/23/2023Notice of FINRA Regional Committee Elections and Mailing of Ballots10/23/2023FINRA Announces Process to Fill Upcoming
