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Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2022 FINRA Board of Governors Meeting.
Closing Of Washington District Office
A decision was made in June of last year to close the Washington, D.C. NASD RegulationSM District Office. That District Office officially closed its doors on January 31, 1998.
This notification is to advise readers that the functions of the former D.C. District Office have been divided between the Philadelphia and Atlanta NASD Regulation District Offices.
Sec. 4.4 Except as otherwise provided by law, these By-Laws, or the Delegation Plan, Directors of FINRA Dispute Resolution shall be elected each year at the annual meeting of the stockholder, or at a special meeting called for such purpose in lieu of the annual meeting. If the annual election of Directors is not held on the date designated therefor, the Directors shall cause such election
FINRA’s 2019 Budget Summary provides transparency not just into FINRA’s operations, but also the self-regulatory organization’s financial guiding principles. On this episode, we hear from FINRA’s CFAO about how a drawing down on reserves can be part of a company’s long-term financial plan.
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
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Senior Management
Legal & Compliance
Executive Summary
The NASD® Select Committee on Structure and Governance (Select Committee), also known as the Rudman Committee, has proposed significant changes to the manner in which the NASD operates. After substantial discussion, the NASD Board of Governors adopted the proposals in substantially the form recommended by the
FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.
The Observations on Cybersecurity section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
FINRA plans to update the TRACE for Treasuries FIX acknowledgement messages on Monday, July 10, 2023.
Currently, FIX Tag 60 (Transact Time) timestamps support up to microsecond precision (Format: YYYYMMDD-HH:MM:SS.sss.mmm); however FIX acknowledgement messages consist of only millisecond precision (Format: YYYYMMDD-HH:MM:SS.sss). The TRACE for Treasury Securities FIX Specification includes the