Cybersecurity experts and regulators gathered in New York City on February 22, 2018 to focus on key ways the financial services industry can maintain cybersecurity.
Strengthen your cybersecurity knowledge and learn how to protect sensitive information. Explore common threats, controls and best practices to mitigate cyber risks.
Industry Governor – Large Firm RepresentativeChairman & Chief Executive Officer of MML Investors Services, LLC and Head of MassMutual Financial AdvisorsGovernor Since 2024Professional ExperienceChairman & Chief Executive Officer of MML Investors Services, LLC (2007 – Present)Head of MassMutual Financial Advisors (2007 – Present)Vice President & Chief Marketing Officer, The
Industry Governor – Small Firm RepresentativeChief Compliance Officer, XML Securities, LLCGovernor Since 2024Professional ExperienceXML Securities, LLCManaging equity member (2022 – Present)Chief Compliance Officer, XML Securities, LLC (2013 – Present)Chief Administrative Officer, XML Securities, LLC (2008 – 2012)XML Financial, LLCManaging equity member (2022 – Present)Chief Compliance Officer (
(a) CAT Industry Member Fees (1) Fee Assessments(A) Historical CAT Assessment 1.(i) Each CAT Executing Broker shall receive its first invoice for Historical CAT Assessment 1 in November 2024, which shall set forth the Historical CAT Assessment 1 fees calculated based on transactions in October 2024, and shall receive an invoice for Historical CAT Assessment 1 for each month thereafter in which
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a historical Consolidated Audit Trail (“CAT”) recovery assessment designed to permit FINRA to recoup its contributions to recoverable historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022.
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Robert W. CookPresident and Chief Executive OfficerRobert W. Cook is President and CEO of FINRA.From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities
Maureen A. DelaneyChief Hearing Officer and Senior Vice PresidentFinancial Industry Regulatory AuthorityMaureen Delaney is the Chief Hearing Officer at FINRA. She has been a Hearing Officer in FINRA’s Office of Hearing Officers since 2009. Prior to joining the Office of Hearing Officers, she served as Senior Counsel in FINRA’s Department of Enforcement in Washington, D.C. Before joining FINRA, Ms
