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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will start at FINRA on January 30.
Mr. Dean comes to FINRA from the Royal Bank of Canada where he is currently Senior Director, Regulatory & Government Affairs. Before joining RBC in 2015, he
Conflicts of interest can arise in any relationship where a duty of care or trust exists between two or more parties, and, as a result, are widespread across the financial services industry. While the existence of a conflict does not, per se, imply that harm to one party’s interests will occur, the history of finance is replete with examples of situations where financial institutions did not
We are celebrating 100 episodes of FINRA Unscripted. We’ve covered a lot of ground over the past 4 years and 100 episodes and today we are taking a trip back in time to revisit some of our greatest hits.
- Many of the leverage etfs, specially those which represents the broader market, such as UDOW (3x Dow Jones etf), have a long term upward movement and can be held long term if investors can stomach the volatility. Meaning if investor held them, they would have been rewarded. If you ignore the most recent downturn, UDOW since inception had an upward movement and rewarded investors more than 15
(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10.
(b) A confirmation given or sent pursuant to this Rule shall further disclose:
(1) with respect to any transaction in any NMS stock,
You should be aware that certain types of conduct in the securities industry are prohibited.
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Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Results of All-Public Panels and Majority Public
FINRA’s examination program plays a central role in supporting FINRA’s mission of investor protection and market integrity. A main component of this program is FINRA’s examinations of broker-dealers (“firms” or “members”) that are conducted on a regular cycle basis: each firm is examined at least once every four years, and many are examined even more frequently. In connection with each of these examinations, FINRA prepares a report—which is available only to the relevant firm—addressing certain aspects of the firm’s compliance with securities rules and regulations. Firms are required to address issues identified by FINRA, and many do so by proactively taking corrective action before FINRA concludes its exam. Through this sort of rapid remediation, firms strengthen their compliance and supervisory programs, which ultimately helps better protect investors and the integrity of the markets.
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
The Annual Meeting of member firms of the Financial Industry Regulatory Authority, Inc. (FINRA) will be October 26, 2007 at 10 a.m. in the FINRA Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of governors to the FINRA Board. Member firms can also raise other topics for discussion if they notify FINRA by October 19, 2007.1
It is