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
(a) If an ADF Trading Center does not achieve certain thresholds of both its Projected Average Transaction Volume and its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following shortfall capacity usage fees will apply:
For Projected Average Transaction Volume:
Level
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the SEC. Members must halt quoting and trading otherwise
2024 is the third year that Juneteenth is recognized and celebrated as a federal holiday honoring the official abolition of slavery in the United States of America. As history states, President Lincoln abolished slavery with the Emancipation Proclamation in 1863. However, that did not immediately end slavery throughout the United States.
Sec. 5. The Corporation may delegate its authority under this Article in a manner not inconsistent with the Delegation Plan.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
July 1999
Year 2000: Will Your Firm Be Compliant?
Recognizing the importance of ensuring the Year 2000 readiness of the securities industry, the Securities and Exchange Commission (SEC) has taken key steps to encourage active compliance efforts by broker/dealers. The first of these actions required broker/dealers to submit two Form BD-Y2K progress reports under Rule 17a-5 of the Securities and
I strongly oppose FINRA Regulatory Notice #22-08 I am fully capable of deciding what investments are right for me. I do not need the government to impose more regulations and take away my RIGHT to invest as I see fit.
Leveraged funds are an integral part of my investment plan, especially in a down market as we have had recently. I urge you to not pass these new requirements. We need LESS, not
I believe that I - and not regulators with potential agendas should have the right to choose the public investments right for me -- and these shouldn't be restricted to just the privileged. I shouldn't need to go through any special process or testing before I can invest in public securities (such as leveraged and inverse funds) since I'm quite capable of understanding the risks
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
