OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
Investment Firms Decreased in the US in 2019
The total number of registered representatives in the United States has decreased slightly. FINRA, the Financial Industry Regulatory Authority, released its most recent industry snapshot. In 2019, there were 624,674 registered representatives in the US,…
Productivity Remains for Broker/Dealers Working From Home
In the last episode of the FINRA podcast, FINRA Unscripted, the podcast recorded part of a recent FINRA virtual conference. The conference panel consisted of FINRA CEO Robert Cook, Member Supervision Head Bari Havlik and Chief…
SEC, MSRB, FINRA to Hold Compliance Outreach Program…
Washington D.C., July 16, 2020 — The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for…
Reg BI Implementation Going Well Despite COVID
Despite challenges from coronavirus, American broker/dealers have done an admirable job implementing the new Regulation best interest. Meredith Cordisco and Jim Wrona are both members FINRA’s Office of General Counsel and they were the latest…
Eileen Murray Joins HSBC as Independent Non-Executive Director
HSBC Holdings Plc, the UK based multinational financial services provider revealed the appointment of new member to its board of directors. As per update from the firm, it has onboarded Mrs. Eileen Murray to serve…
Financial Exploitation of Seniors Rising
FINRA is the Financial Industry Regulatory Authority, a self-regulatory organization formed in 2007 when the regulatory arms of the NYSE and the NASD merged and has been looking after the financial exploitation aspect too. Chris…
FINRA Creates COVID Task Force
FINRA, the Financial Industry Regulatory Authority, has formed a task force for COVID related crimes. Greg Ruppert is the new head of the National Cause and Financial Crimes Detection Programs (NCFC) at FINRA and he…
FINRA Explains Gateway Transition
FINRA, the Financial Industry Regulatory Authority, hopes upgrades in its compliance portal will leverage technology. FINRA recently held a virtual conference entitled “FINRA Gateway.” This conference was about the transition from FIRM Gateway to FINRA…