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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Morgan Stanley's Gregory Fleming Elected to FINRA Board
January 13, 2012
Gregory Fleming, President of Morgan Stanley Smith Barney and President of Morgan Stanley Investment Management, was elected to FINRA's Board of Governors. He'll fill the Large Firm Seat vacated by Sallie Krawcheck, former President of Bank of America's Global Wealth & Investment Management unit.
FINRA has a 22-person Board of Governors, with 11 seats held by Public Governors and 10 by Industry Governors. FINRA CEO Rick Ketchum fills the remaining seat. Large firms are those consisting of 500+ registered persons. Small firms 150 or fewer registered persons, while medium-sized firms consist of 151 to 499 registered persons. Large and small firms are each represented by 3 governors, while medium-sized firm have one board seat. [FINRA News Release, 1/12/12]
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