SR-FINRA-2016-014 Rule change to amend the By-Laws of FINRA’s regulatory subsidiary, FINRA Regulation, Inc., to expand the size of the National Adjudicatory Council (“NAC”) to 15 members, with the number … Continue reading National Adjudicatory Council Changes →

The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, effective … Continue reading FINRA Announces CEO Transition →