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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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Newly Elected FINRA Governors
With 46% of eligible FINRA member firms voting, two new Industry Governors were to the 22-member FINRA Board of Governors. The vote took place at the 2011 Annual Meeting on 8/3. Each will begin his or her 3-year term immediately. Industry Governors may not serve more than 2 consecutive terms.
Small Firm Governor-Elect. Ken Norensberg, COO, Tritaurian Capital Incorporated. Elected in August 2010, Mr. Norensberg has served as a small firm Governor for the past year.
Large Firm Governor-Elect. Sally Krawcheck, President of Global Wealth & Investment Mgmt, Bank of America. Ms. Krawcheck replaces FINRA Board member Richard Brueckner, who had served as a large firm Governor on the FINRA Board since its inception in 2007.
Other Changes. A new Lead Governor was elected and 5 others were reappointed to the Board.
- Lead Governor: Jack Brennan, Chairman Emeritus of The Vanguard Group, was elected by the Board in July to serve a 1-year ter, replacing departing Lead Governor Brueckner.
- Floor Member Representative - Appointed: John F. X. Dolan, Knight Capital Americas.
- Public Governors - Appointed: (i) Charles Bowsher, Former U.S. Comptroller General; (ii) James Burton, California Strategies, LLC; (iii) Harvey Goldschmid, Columbia Univ. Law School; (iv) Kurt Stocker, Northwestern Univ.
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