A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.
Net profits to be distributed to harmed investors after failures to supervise.
The rise of hybrid working has prompted a rethink in the approach to branch inspections.
Omer Meisel (OM), Senior VP at FINRA spoke to Paul M Abbate, Deputy Director of the FBI, and Brian Nelson, Under Secretary for Terrorism and Financial Intelligence at the US Treasury at FINRA 2023.
Kayte Toczylowski, VP of Member Relations and Education, put the questions that she is hearing most frequently from members to Robert Cook, President and CEO, FINRA, at the regulator’s annual conference in Washington DC.
VP Kayte Toczylowki and CEO Robert Cook greet attendees at start of annual gathering in Washington DC.
Report reflects new and evolving risks, industry trends, and noteworthy findings.