Public GovernorManaging Partner, Siempre Holdings LLCGovernor Since 2022Committee: Compensation & Human Capital CommitteeProfessional ExperienceManaging Partner, Siempre Holdings (2001 – present)Managing Director, Yahoo! Inc. (1997 – 2001)Director, The British Broadcasting Corporation (BBC Worldwide) (1995 – 1997)Senior Operating Roles, Bertelsmann SE & Co. KGaA (BMG
Public GovernorKPMG LLP, Former Managing DirectorGovernor Since 2021Committees: Finance, Operations & Technology Committee, Regulatory Oversight Committee, Regulatory Policy CommitteeProfessional ExperienceManaging Director, KPMG LLP (2014 – 2020)Deloitte & Touche Consulting Managing Director, Banking & Securities Regulatory Practice (2012 – 2014)
Public GovernorVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank GroupGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat.
On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.
In the interest of transparency and clarity, FINRA is posting the correspondence between FINRA and Next Bridge Hydrocarbons that began on April 18, 2023.
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
Industry Governor (Small Firm Representative)President & Chief Compliance Officer, M.E. Allison & Co., Inc.Governor Since 2019Committees: Audit & Risk Committee, Regulatory Oversight CommitteeProfessional ExperiencePresident & Chief Compliance Officer, M.E. Allison & Co., Inc. (2022 – present)Chief Compliance Officer, M.E. Allison & Co
When the FBI identifies a third successive fingerprint card as "Illegible,” FINRA requests that the FBI conduct a search of its database based on the associated person's name (Name Check) rather than on the fingerprints submitted
CodeExplanationCDPD*Firm provided barcode on form filing and awaiting receipt of fingerprints for processing.CLERFBI result indicating No Data was identified for fingerprints submitted.CLRXFBI result indicating No Data was identified based on Name Check search.COMPFINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.CMPXFINRA staff has completed
