FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
Rulemaking items discussed at the December meeting include: ATS block data, award offsets in arbitration, qualification and registration, and shortening the settlement cycle.
Rulemaking topics discussed include: communications with the public, mark-up/mark-down rule application to US treasury securities, the municipal adviser exam fee, and the trading activity fee.
Rulemaking items discussed at the December 2016 Board meeting include: Simplified Arbitration and Procedural Rules Concerning Eligibility Proceedings.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.
Rulemaking topics discussed include:
equity trading initiatives,
ATS order book information,
expansion of ATS transparency,
trade sequencing,
clock synchronization,
oats non-member reporting,
supervision of algorithmic trading strategies,
registration of associated persons involved in the preparation of algorithmic strategies,
fixed income quotation information,
fixed income pricing disclosure,
identification of transactions with affiliated entities in TRACE,
gross income assessment methodology,
recruitment practices, and
securities trader and securities trader principal registration categories.
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, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
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.
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.
