NCFC

Report From FINRA Board of Governors Meeting – December 2023

Retrieved on: 
Friday, December 15, 2023
Finance, Law Enforcement, Emergency Services, Professional Services, Legal, Public Policy, Government, NAC, Committee, Report, NCFC, OTC Bulletin Board, Arbitration, Regulation, SFAC, Code, Financial adviser, FINRA

FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7.

Key Points: 
  • FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7.
  • The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
  • FINRA anticipates publishing the 2024 FINRA Annual Regulatory Oversight Report — formerly known as the Report on FINRA’s Examination and Risk Monitoring Program — next month.
  • The next FINRA Board of Governors meeting is scheduled for March 6-7, 2024.

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

Retrieved on: 
Thursday, October 5, 2023
Professional Services, Law Enforcement, Emergency Services, Public Policy, Government, Legal, Finance, Consulting, Crypto, Special Investigations Unit, Multimedia, Intelligence Branch, Fraud, Intelligence, Meisel, FBI, CII, Cyber Branch (United States Army), Computer security, National Association, NASD, NCP, FINRA, Security (finance), NCFC, Cryptocurrency, Private investigator

FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.

Key Points: 
  • FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
  • View the full release here: https://www.businesswire.com/news/home/20231005617612/en/
    In his new role, Meisel reports to Greg Ruppert, Executive Vice President, Member Supervision at FINRA .
  • Meisel had served as acting head of the NCFC since St. Louis stepped into his new role.
  • “Omer has contributed significantly to FINRA’s increased focus on the critical areas of complex investigations, including cybersecurity and crypto assets.

FINRA Names Bill St. Louis as New Head of Enforcement

Retrieved on: 
Monday, August 21, 2023
Legal, Finance, Consulting, Fintech, Banking, Law Enforcement, Emergency Services, Accounting, Public Policy, Government, Professional Services, Baruch College, Suffolk University Law School, Senior, Head, Multimedia, Financial intelligence, Financial Intelligence Unit (India), New York University School of Law, NCFC, Insurance Fraud Enforcement Department, FINRA, Region, Fraud, Safety, Management, Cryptocurrency, Enforcement

FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately.

Key Points: 
  • FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately.
  • St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC).
  • St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA CEO Robert Cook .
  • Christopher J. Kelly , Senior Vice President and Deputy Head of Enforcement, served as Acting Head of Enforcement since February 2023, when Jessica Hopper departed FINRA.