Displaying 34551 - 34560 of 34814 Results
April 24, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulation Best Interest.Speakers:Robert Cook, FINRA President and Chief Executive OfficerAndrew McElduff, Vice President, Member SupervisionNicole McCafferty, Vice President, Member SupervisionKayte Toczylowski, Vice President, Member
January 12, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision senior staff to discuss the 2023 Report on FINRA’s Examination and Risk Monitoring Program. Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Vice President, Member Supervision Regulatory Advisor and
A critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relating to FINRA's rules. OGC staff provides such guidance both orally and in writing.
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrita Bayatmakou, Vice President, Cyber
June 15, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss cybersecurity issues affecting the industry and effective practices.Speakers:Robert Cook, FINRA President and Chief Executive OfficerKeith Bettencourt, Specialist Manager, Member SupervisionWyatt Hamilton, Associate Principal Risk
October 8, 2019FINRA President and CEO Robert Cook and Senior Vice President of Member Relations & Education Chip Jones was joined by Executive Vice President and Chief Legal Officer Bob Colby and Vice President and Associate General Counsel Jim Wrona to discuss the SEC’s Regulation Best Interest (Reg BI).Speakers:Robert Cook, FINRA President and Chief Executive OfficerChip Jones, Senior
December 6, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Vice President of Testing and Continuing Education (CE) David Scrams to discuss the CE Transformation including information on the Maintaining Qualifications Program and the transition to an annual Regulatory Element requirement. Senior staff also discuss
A financial windfall might seem like an uncomplicated blessing, but found money of any size requires thoughtful management to maximize its full potential. Beneficiaries might find that they have an urge to splurge, are unsure how to invest their assets, or are targeted by fraudsters—any of which can lead to a money blunder.
FINRA understands that certain jurisdictions and SROs that require a branch office to be either “registered” or “notice filed,” using Form BR (Uniform Branch Office Registration Form) may not currently be able to recognize FINRA Rule 3110.19 (Residential Supervisory Location (“RSL”)).
Trade date is the day your order to buy or sell a security is executed; settlement date is the day on which funds and the securities must be delivered. Beginning on May 28, 2024, the new standard for settlement will become the next business day after a trade, or T+1.