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Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the
As Vice President – Regulatory Risk Counsel, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the MRTS team in
Registration Code Classifications
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
FINRA has 13 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. More than 160 industry members and 35 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.Clearing Firm Advisory CommitteeCorporate Financing CommitteeEconomic Advisory
I am a private trader/investor. I have been using inverse and leveraged vehicles for many years in addition to more traditional vehicles. I have both made and lost a huge (for me) amount of money in them, but with time and trading experience I have been able to learn to trade them correctly greatly to my advantage. My issue with the proposed regulations is that the present regulatory attempts I
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.