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FINRA Publishes 2024 Regulatory Oversight Report

FINRA Publishes 2024 Regulatory Oversight Report
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United statesOrnella bergeronMichael solomonGreg ruppertClaire osullivanOmer meiselHead of nationalBank secrecyRisk monitoring programFinancial crimes detection programNational market systemReport highlights cryptoEvolving trendsRegulatory oversight reportRisk monitoringMarket regulation

Report From FINRA Board of Governors Meeting – December 2023

Report From FINRA Board of Governors Meeting – December 2023
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Eric nollRegional committeeFinancial crimes detection programNational adjudicatory councilRisk monitoring programSmall firm advisory committeeBoard approves rule proposalsRegulatory oversightChair ericRegional committeesSelection noticeRegulatory oversight reportDocument production listsSimplified customer arbitrationsArbitration procedureCustomer disputes

Investment Management Update - November 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

.SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen.

United statesNew yorkAdam markovichAlexandera ahmadiAndrewm middlebrooksOsman nawazMarkt uyedaKristena dalyAlexandram koscoveGary genslerKaty berkHesterm peirceMaxa rosenthalAmendments to fund names ruleExchange ruleSolutions inc

FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program

FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program
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Greg ruppertEnron taskExchange commissionSan diego divisionIntelligence branchNational cause programCyber branch national securityFinancial crimes detection programSeniors teamNational association of securities dealersScybersecurity groupCounterintelligence branchOmer meiselExecutive vice presidentNational causeBusiness wire

FINRA Promotes Omer Meisel To Executive Vice President Of The National Cause And Financial Crimes Detection Program

FINRA Promotes Omer Meisel To Executive Vice President Of The National Cause And Financial Crimes Detection Program
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Greg ruppertOmer meiselExchange commissionSan diego divisionScybersecurity groupEnron taskSeniors teamCounterintelligence branchFinancial crimes detection programNational association of securities dealersCyber branch national securityNational cause programIntelligence branchExecutive vice presidentNational causeMember supervision