Items discussed at the September meeting include: Financial Exploitation of Seniors and Other Vulnerable Adults; FOCUS Report Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items; OTC Bulletin Board; Securities Trader Qualification Exam Fee; Dispute Resolution Party Portal and Expungement of Customer Dispute Information.
Rulemaking items discussed at the September Board meeting include: communications with the public, non-public arbitrator definition and sending arbitrator selection lists to parties.
Watch the video report featuring highlights from the September 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Rule 4111 Compliance Tool – Lists of Expelled FirmsFINRA Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as Restricted Firms to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. Rule 4111 establishes a multi-step, annual process through which
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's September 19 Board of Governors meeting.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection in customer cases with three arbitrators.
Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Rulemaking items discussed at the July Board meeting include: alternative display facility; desk research exemption from debt and equity research rules; and expansion of TRACE to U.S. Treasury Securities.
