Industry Governor (Large Firm Representative)Managing Partner, Edward JonesGovernor Since 2022Committees: Audit & Risk Committee, Finance, Operations & Technology CommitteeProfessional ExperienceEdward JonesManaging Partner (2019 – present)Principal, Client Strategies Group (2015 – 2019)Principal, Branch and Region Development (2011– 2015)Principal, Branch Office Administrator
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Getting Started
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Confidentiality and Security
Technology Challenges
Preparing for a Virtual Pre-Hearing Conference
Commencing a Virtual Pre-Hearing Conference
Recording a Virtual Pre-Hearing Conference
During a Virtual Pre-Hearing Conference
Participant Etiquette
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Effective Practices
Location and Background
(a) Authority of Adjudicator and FINRA Staff
For the purpose of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, an Adjudicator or FINRA staff shall have the right to:
(1) require a member, person associated with a member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and those without any
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Scottrade $600,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and other violations.
FINRA found that Credit Suisse’s suspicious activity monitoring program was deficient in two respects. First, Credit Suisse primarily relied on its registered representatives to
Plans Recommended Using Funds Obtained From Mortgage Refinancings and Home Equity Loans
FINRA Also Suspends Broker for Nine Months, Fines Her $60,000
FINRA Rule 4111 establishes an annual process by which FINRA designates as “Restricted Firms” member firms that present a high degree of risk to the investing public, based on numeric thresholds of firm-level and individual-level disclosure events.
Public GovernorFormer Chair and CEO, Ontario Securities CommissionGovernor Since 2020Committees: Audit & Risk Committee, Executive Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (Chair)Professional ExperienceOntario Securities CommissionFormer Chair and Chief Executive Officer (2016 – 2020)Executive Director &
(a) Conditions Permitting "Sell-Out"
Upon failure of the buyer to accept delivery in accordance with the terms of the contract, and lacking a properly executed Uniform Reclamation Form or the equivalent depository generated advice for depository eligible securities meeting the requirements prescribed in Rule 11710(b), the seller may, without notice, "sell-out" in the