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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
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)).
February 20, 2019FINRA Chief Executive Officer Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones and Executive Vice President of Enforcement Susan Schroeder to discuss FINRA's 529 plan share class initiative.Speakers:Robert Cook, FINRA President and Chief Executive OfficerChip Jones, Senior Vice President of Member Relations and EducationSusan
July 29, 2020FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private
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
The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 31 exam—the Futures Managed Funds Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 32 exam—the Limited Futures Examination-Regulations—is a National Futures Association (NFA) exam administered by FINRA.
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.