BROWSE BY TOPIC
Stories of Interest
- 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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NEWSLETTERS & ALERTS
FINRA announced the following elections. All ballots must be submitted by November 15, 2018.
NOTICE OF SFAC ELECTION & BALLOTS. FINRA small member firms will elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members in the North and West Regions as of the close of business on October 15, 2018, are eligible to vote in these elections. All eligible firms are urged to vote in the election of these SFAC members.
North Region Seat Candidates: (i) Jay Gettenberg (FINOP, Witherspoon Capital Partners); (ii) Earle Hollister (Compliance Manager, St. Germain Securities).
West Region Seat Candidates: (i) Dan Adams (Enterprise-wide CCO, Acorns Securities); (ii) Rick Dahl (CCO/EVP, Sorrento Pacific
NOTICE OF FINRA REGIONAL COMMITTEE ELECTIONS & BALLOTS. FINRA member firms will vote to fill vacancies on the FINRA Regional Committees (formerly known as District Committees).
Refer to Appendix A for list of candidates in each district.
NOTICE OF ELECTION & BALLOTS FOR FINRA SMALL FIRM NAC MEMBER SEAT. FINRA small member firms will vote to decide a contested election for a small firm member seat on the National Adjudicatory Council.
Petition Candidates: (i) John Parmigiani (CEO, Allied Millennial Partners; (ii) Michelle Thomas (CCO, WBB Securities).