Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
If you are assigned to a case as a Category B or C arbitrator, and must travel 75 miles or more to a hearing for an assigned case, we recommend that you use FINRA’s travel desk, ADTRAV, to book travel.Benefits of Using ADTRAVADTRAV will book airfare, rail tickets, and hotel stays that are compliant with FINRA’s travel policy. ADTRAV bills FINRA directly, so arbitrators will no longer need to pay
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to require firms to report time fields in trade reports submitted to an equity trade reporting facility (or “FINRA Facility”) using the same timestamp granularity that they use to report to the consolidated audit trail (“CAT”), in accordance
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the March 2024 Trade Reporting Notice. These enhancements are being
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
SUGGESTED ROUTING:*
Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
Andrew Meyers partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Mr. Meyers joined FINRA in June 2012 and was rehired in March 2020. Prior to returning to FINRA in 2020, he served in a similar capacity at Danone and Allegis Group. Throughout his
Inverse and leveraged funds are an important part of the market as it allows retail investors like myself to take part in products that are normally not available to us. The ability to hedge against certain products, market segments, or scenarios should not be limited by a regulatory body. I agree the complexity of these funds and their risks should be well understood by anyone who invests in
Im a normal citizen with a professional job and consider myself an average but informed investor. My investment plan is focused on long term gains and uses leveraged funds to do that. I follow a systematic investment program that uses safety switches and signals to reduce exposure to leveraged funds while also maximizing the benefit leveraged funds provide in the long term.
Im more than
I oppose what is being planned to limit my ability to invest MY money public investments. As we all know there is a level of risk in making any investment and that is a risk I as an individual make a choice on - Not you. Leveraged and inverse funds are important part of my investment portfolio limiting my access to these investment vehicles appears to be discriminatory and tyrannical actions.
