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…
Next Step for FINRA 360 “Listen, Reflect, and…
FINRA’s self-evaluation process will now involve listening, reflecting and action. In the latest episode of FINRA’s podcast, Unscripted, rather than guests, the organization played a tape from the “Fireside Chat” which occurred at FINRA’s most…
FINRA’s AML Program Explained
Anti-money laundering investigation and enforcement has only gone on in the securities industry for less than two decades, but that does not mean that money laundering is not happening with traders. [caption id="attachment_324757" align="alignleft" width="300"]…
The Central Review Group is referred to as…
[caption id="attachment_332241" align="alignleft" width="223"] FINRA[/caption] FINRA, the Financial Industry Regulatory Authority, is a self-regulatory organization created in 2007 when the regulatory arms of NYSE and NASD merged. Tony Cavallaro heads the CRG, and he was…
FINRA Budget is Released
The 2019 budget for FINRA, the Financial Industry Regulatory Authority, is out and it spells out the priorities for the agency. “As a not-for-profit, self-regulatory organization whose operations are funded by industry fees—without the support…
FINRA to Upgrade Registration System
FINRA’s system for registering broker/dealers is getting an upgrade and moving into the 21st century. FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system for FINRA, all of the Securities and…
FINRA Teams With Georgetown University For Compliance Education
If one is in trading compliance looking to advance their knowledge, one place to look is the Certified Regulatory and Compliance Professional (CRCP)® program sponsored by FINRA and Georgetown University. The program is a two-week intensive program…
FINRA Board Looks for Diversity
In the coming year, board recruitment and diversity will be critical for FINRA, the Financial Industry Regulatory Authority. Marcia Asquith is FINRA’s executive vice president of Board and External Relations, and she was the latest…