Haimera Workie, Vice President and Head of Financial innovation, oversees the Office of Financial Innovation. In this capacity, he is responsible for leading FINRA’s Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an
Whether or not I am investing at this time is inconsequential. What is important is my rights under the constitution. You have no right to violate my constitutional rights. To insult my intelligence, is unexceptable. To limit my rights to protect myself and/or my family's livelyhood with financial security is unforgivable and a violation of my rights. We do not live in a society where
I cannot believe how deep this corruption runs. Honestly, at this point id be hopeful that any number of these committees would do something to level the playong feild here. However judging by lack of action, i have come to one of two conclusions. You're either all corrupt and working together to rob the american public. The people who keep this coubtry running. The people you all considered
Summary
Several member firms have recently notified FINRA that they have been victims of imposter websites—which are sites designed to mimic a firm’s actual website with the end goal of committing financial fraud. This Notice outlines steps firms can take to monitor for imposter websites and what to do if an imposter website is found.
Questions concerning this Notice should be directed to:
I am pleased to be able to participate in these important public hearings on micro-cap stock fraud. As head of NASD Regulation’s Enforcement Department, my staff and I have had numerous opportunities to work with Andrew Kandel and the fine staff of the New York Attorney General’s Bureau of Investor Protection & Securities.
(a) FINRA may at any time, due to concerns regarding the accuracy or integrity of a member's financial statements, books and records or prior audited financial statements, direct any member to cause an audit to be made by an independent public accountant of its accounts, or cause an examination to be made in accordance with attestation, review or consultation standards prescribed by the
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(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
The problem is not the rules... Rules are there already and you know as well as everyone else that the issue is that the rules are for thee and not for me. Enforce the rules that are on the books and stop not only the naked short selling but also the political hacks working for your agency and all throughout the financial industry regulatory authorities. Tell me... How much again did Pelosi make
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
