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Gene DeMaio is Executive Vice President in FINRA's Market Regulation Department, with responsibility for managing the Options Regulation and Trading and Financial Compliance Examinations programs.
Prior to joining FINRA, Mr. DeMaio was an Options Market Maker at the American Stock Exchange, and earlier worked as an attorney at the law firm of Kord Lagemann, where he represented complainants
Frequently asked questions and answers
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.
FINRA has 13 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. More than 160 industry members and 35 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.Clearing Firm Advisory CommitteeCorporate Financing CommitteeEconomic Advisory
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s adjudicatory forum for disciplinary and
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Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.