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Washington - The Financial Industry Regulatory Authority (FINRA) announced today that it has hired Robert L. D. Colby as its Chief Legal Officer.
WASHINGTON, D.C. – To kickoff April as Financial Literacy Month, the FINRA Investor Education Foundation (FINRA Foundation) and the American Library Association (ALA) today announced the selection of 50 U.S. public libraries to be part of a national tour of the traveling exhibition, Thinking Money for Kids.
Thinking Money for Kids is a new financial literacy experience for children ages 7 to 11
Investors should be wary of schemes on the internet and social media claiming to raise money for companies promising new health care products that detect, treat, or cure COVID-19. While some could be legitimate, many will ring hollow, leaving investors with nothing but broken promises and empty pockets.
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Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
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KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Compliance
Supervision
Executive Summary
NASD is proposing to amend Rule 3010 and adopt related interpretive
GUIDANCE
Fingerprinting Procedures
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Legal and Compliance
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Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints submitted to the
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued the following statement from Richard Ketchum, FINRA Chairman and Chief Executive Officer, regarding a settlement between FINRA and the Securities and Exchange Commission (SEC) arising from documents produced during a 2008 SEC oversight examination of the Kansas City District Office.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
WASHINGTON — FINRA’s Board of Governors held its first meeting of 2018 on March 7-8 in New York, where it approved two new rule proposals and FINRA’s 2018 corporate goals, as well as reviewed the progress of the ongoing FINRA360 organizational improvement initiative introduced nearly one year ago.
The FINRA Board, which meets five times annually, also met with Brett Redfearn, Director of the
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) has named Joseph M. Mecane as the Floor Member Governor on FINRA's Board of Governors. Mr. Mecane is currently a Managing Director of Electronic Equities and Credit Products at Barclays. Mr. Mecane recently joined Barclays to assist in the further development of the firm's electronic product offering, with a particular focus