Tag: FINRA
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Open Call Report – FINRA Cross Product Surveillance
Good evening and welcome to tonight’s STA Open Call titled FINRA’s Cross Product Surveillance of the Listed Options and Equity Markets. Tonight’s call is brought to you by the STA […] Read More
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Open Call Report – FINRA’s 2018 Regulatory and Examination Priorities Letter
On January 8, 2018, FINRA published its 2018 Regulatory & Examinations Priorities Letter. The list of categories included; Fraud; Operational & Financial Risks; Sales Practice Risks; New Rules and Market […] Read More
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Open Call Report – New FINRA Exam Process
In July 2017 the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals STA Open Call – November 29, 2017 – Call […] Read More
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STA Comment Letter on Lapsed Licenses
Newsletter No.30 STA recently filed a comment letter that included a recommendation on an issue that acutely impacts women in finance: lapsed licenses. According to FINRA regulations, a Series 7 […] Read More
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Lawyers vs. Brokers
STA recently filed a comment letter that included a recommendation on an issue that acutely impacts women in finance: lapsed licenses. According to FINRA regulations, a Series 7 license expires […] Read More
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Comment Letter: FINRA Engagement Initiative
Dear Ms. Mitchell: STA welcomes the opportunity to offer comment on FINRA Special Notice (the “Notice”) Engagement Initiative. We greatly respect and appreciate FINRA’s 360 Review, in particular this request […] Read More
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Comment Letter: FINRA Safe Harbor on Desk Commentary
Dear Ms. Mitchell, The Security Traders Association (“STA”) [1]welcomes the opportunity to comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt […] Read More
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FINRA Cybersecurity Report/eSentire
Special Presenter: J. Paul Haynes, eSentire On February 2, 2015 FINRA released a report for financial firms on cybersecurity practices. Information found in the report is based on various assessment […] Read More
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FINRA CARDS
Special Presenter: Mike Rufino, FINRA This evening we will be featuring FINRA’s requests for comments on a rule proposal to implement the Comprehensive Automated Risk Data System, better known as […] Read More
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FINRA’s Regulatory Notice 14-07; ATS Reporting
Special Presenter: Chris Stone, FINRA On January 17, 2014, the SEC approved two (2) proposed FINRA rule changes; (i) adopt FINRA Rule 4552 which requires each ATS to report to […] Read More