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Tigran Khrimian is Senior Vice President of Enterprise Data Platforms and Business Applications, responsible for technologies that optimize the collection and management of data to maximize its value for FINRA regulatory decision making and Industry compliance.
Mr. Khrimian oversees Big Data technology that processes and analyzes as much as 500+ billion market events daily from exchanges, broker
Anukool Rege joined FINRA in March 2024 as Senior Vice President, Data Management and Governance Office (DMGO). He is a member of the Technology department’s senior leadership team and reports to Steve Randich, Executive Vice President and Chief Information Officer.Mr. Rege is responsible for guiding FINRA’s enterprise-wide data strategy, which includes overseeing the organization’s data
Sec. 8.15 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote in the district and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 8.12, and the Secretary of FINRA has not received proper notice of a change in Executive Representative pursuant to the
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
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FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
Notice of Annual Meeting of FINRA Firms and Proxy
Summary
The SEC has issued an Order1 that permits specified FINRA members an additional 30 calendar days for filing their annual reports as required pursuant to SEA Rule 17a-5(d), subject to certain conditions. The SEC’s Order is in response to a request by FINRA that is designed to ease potential burdens that smaller members may face in obtaining audit services. Members that meet the conditions
Board Approves Rule Proposals and FINRA’s 2023 Budget, Previews 2023 Report on FINRA’s Examination and Risk Monitoring Program
WASHINGTON—FINRA’s Board of Governors held its fifth and final meeting of the year on Dec. 14-15. During the meeting, the Board approved two rule proposals and FINRA’s 2023 proposed budget, appointed members to the Small Firm Advisory Committee (SFAC) and National
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the