Entries by Jay Gettenberg
91 Percent of FINRA Member Firms Have 0 Percent Role on its Powerful Nominating Committee
http://www.brokeandbroker.com/4725/FINRA-Nominating-Committee/
ACI’s Calendar of Upcoming Events
In April of 2019, Elizabeth Attanasio will join a team of committee members of the NYSSCPA’s Stock Brokerage Committee in meeting with the PCAOB, FINRA and the SEC to discuss hot topics resulting from the 2018 audit year end. The purpose of this meeting will be to educate the PCAOB on challenges the FinOps and […]
New Executive Regulatory Titles for FinOps
Effective October 1, 2018 the new FINRA licensing program will go into effect. As part of the program, FINRA will be changing the executive title designations for those industry professionals who previously served as the Financial and Operations Principal (FINOP). Each member firm will be required to designate the following titles: Principal Financial Officer (PFO) […]