On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
As of March 22, 1996, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,051:
Symbol
Company
Entry Date
SOES Execution Level
CMCO
Columbus McKinnon Corp.
2/23/96
200
CYAN
Notice of FINRA District Committee Election and Ballots
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
Richard W. Berry is Executive Vice President and Director of Dispute Resolution Services (DRS).
Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices-New York, Boca Raton, Chicago and Los Angeles-and the New York Case Administration unit.
Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute
Public GovernorKPMG LLP, Former Managing DirectorGovernor Since 2021Committees: Finance, Operations & Technology Committee, Regulatory Oversight Committee, Regulatory Policy CommitteeProfessional ExperienceManaging Director, KPMG LLP (2014 – 2020)Deloitte & Touche Consulting Managing Director, Banking & Securities Regulatory Practice (2012 – 2014)
Industry Governor (Small Firm Representative)President & Chief Compliance Officer, M.E. Allison & Co., Inc.Governor Since 2019Committees: Audit & Risk Committee, Regulatory Oversight CommitteeProfessional ExperiencePresident & Chief Compliance Officer, M.E. Allison & Co., Inc. (2022 – present)Chief Compliance Officer, M.E. Allison & Co
