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This episode originally aired in July 2018. What do physicists and financial industry regulators have in common? More than you'd think. On this episode, we sit down with Tom Gira, head of FINRA’s Market Regulation and Transparency Services group, to learn not just how the cloud and machine learning have fundamentally improved FINRA's ability to regulate markets, but also what we've been learning from physicists along the way.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
FINRA 21-19 is a long overdue change. It is clear that there is a systematic flaw in the United States market that if continued, will lead to disaster. A large part of this issue is the outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific
FINRA 21-19 is something this country has needed for a long time -- financial institutions, hedge funds and the like need to be better regulated. I didn't know a lot about the market before this year, but what I have learned is that there are too many loopholes, and a lack of enforcement of existing regulations, that allows big players to make money at everyone else's expense. Synthetic
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to risk resulting under the regulatory authority of FINRA's outdated, short-interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1994:
February 21
Presidents' Day
April 1
Good Friday
May 30
Memorial Day
July 4
Independence Day
September 5
Labor Day
November 24
Thanksgiving Day
December 26
Christmas Day (Observance)
Note: The NASD and The Nasdaq Stock
FINRA announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to an array of mutual fund transactions including mutual fund switches. Additionally, the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
Sec. 6. Notwithstanding Section 5 or Article XXII, the term of office of a Governor shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Governors, that: (a) the Governor no longer satisfies the classification for which the Governor was elected; and (b) the Governor's continued service as such would violate the compositional requirements of the
Our diversity efforts extend beyond the walls of FINRA. We think it's important to be a diversity and inclusion leader in the financial services industry, so we offer diversity-focused programming at our Annual Conference. And each year we host a Diversity Summit, where diversity practitioners from firms, financial regulators and other organizations are invited to share best practices that