FINRA announces results of Board of Governors elections. Member firms reelect Scott Curtis as Large Firm Governor and elect Jay Gettenberg as Small Firm Governor. WASHINGTON - FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday. The elected Governors include: * Large Firm Governor - Scott Curtis, Chief Operating Officer, Raymond James Financial * Small Firm Governor - Jay Gettenberg, CEO and FinOp, ACI Capital Markets, LLC Scott Curtis Jay Gettenberg Curtis has been the Chief Operating Officer of Raymond James Financial since 2024, where he leads the firm's institutional investment management and advisory solutions segments, corporate marketing, and strategic initiatives. Prior to that, he served as President of Raymond James' Private Client Group since 2018. He has served the firm in senior leadership roles since 2003. Curtis earned his M.B.A. from the Ross School of Business at the University of Michigan and received a B.A. in Economics and English from Denison University. He has served as FINRA Board Chair since February 2025 and was reelected in that role at last month's Board meeting. Gettenberg is Managing Partner and CEO of ACI, a provider of Financial and Operations Principals (FinOp) licensing and regulatory financial reporting for broker-dealers. He also serves as CEO and FinOp of ACI Capital Markets, ACI's affiliated FINRA member broker-dealer. In his current role, he supervises a team of 38 full-time professionals, including more than 20 licensed FinOps. He previously served on FINRA's District 10 Committee and the FINRA Small Firm Advisory Committee. He is filling the Small Firm Governor seat vacated by Wendy Lanton, Chief Operations/Compliance Officer at Herold & Lantern Investments, Inc. "I am pleased to welcome Jay Gettenberg to the FINRA Board. Robust representation from small firms is essential in carrying out FINRA's mission as a self-regulatory organization, and Jay brings invaluable firsthand knowledge of the challenges and opportunities faced by this vital segment of our membership," said FINRA Board Chair Scott Curtis. "I also extend a heartfelt thank you to Wendy Lanton for her thoughtful insights and leadership during her tenure on the Board." "As a small-firm leader with deep expertise in financial operations and regulatory reporting, Jay Gettenberg brings a valuable perspective to FINRA's Board, and I congratulate him on this election," said FINRA CEO Robert Cook. "I also want to congratulate Scott Curtis on his reelection and thank him for his continued leadership as Chair. Together with the full Board, I am confident we will continue making meaningful progress through FINRA Forward on enhancing our capabilities to protect investors and safeguard market integrity." FINRA Governors are appointed or elected to three-year terms. More information regarding the Board's operations, including the membership and responsibilities of its committees, is available at www.finra.org/governance. About FINRA FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry - member brokerage firms doing business in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.

Former FINRA executive Derek Linden joins SEDA as a securities regulation and compliance expert. New York, NY, July 15, 2026 - SEDA Experts LLC, a leading expert witness firm providing world-class financial expert witness services, announced today that Derek Linden joined the firm as Managing Director. "Derek adds to the outstanding regulatory expertise SEDA is able to bring to bear to assist our clients," said Peter Selman, Managing Partner of SEDA Experts. Mr. Linden is a recognized authority on securities regulation, compliance and operations. He specializes in all aspects of the registration of firms and professionals, including qualification, education and public disclosure. His expertise extends to regulatory technology, records management, data governance, privacy, and compliance. During his 40-year career at FINRA, Mr. Linden held several executive leadership positions and played a key role in developing and overseeing major regulatory systems and programs. At FINRA, Mr. Linden led the implementation of major regulatory programs and systems, including the internet-based Central Registration Depository system, used for the registration of securities firms and financial professionals, the Investment Adviser Registration Depository, BrokerCheck, and Investment Adviser Public Disclosure. These programs are among the most comprehensive in U.S. securities regulation and are relied upon by industry, regulators and the public. Mr. Linden was responsible for the development and application of FINRA rules and policy across these areas, as well for their ongoing operation and strategic direction. He was extensively involved in the establishment and growth of the securities industry continuing education program and served on the Securities Industry Continuing Education Council. He also played a leading role in the development of FINRA's qualification programs for financial professionals, including the implementation of the Securities Industry Essentials examination. As a senior FINRA executive, Mr. Linden collaborated closely with FINRA's Enforcement, Regulatory Operations, Office of General Counsel, and Technology teams. All enforcement actions taken by FINRA are reported through the programs he led. He also worked closely with state and federal regulators on regulatory matters within his areas of responsibility. Mr. Linden served as Co-Chair of the CRD Steering Committee, which is responsible for setting CRD policy and operating rules. He led the development of revised uniform registration forms, including Forms U4, U5, and BR, with particular responsibility for disclosure questions, amendments, and related interpretations applicable to securities professionals. In addition to leading these programs, Mr. Linden held multiple leadership positions with FINRA overseeing legal, policy, technology, insurance, data, privacy and records initiatives at FINRA. This included establishing and chairing FINRA's Records Management Board, establishing and leading its first privacy office, and developing information management and captive insurance programs. Prior to his distinguished career at FINRA, Mr. Linden was an attorney at prominent Washington, D.C. law firms where he advised clients on complex business and financial transactions, and securities, intellectual property, and tax law. About SEDA Experts LLC SEDA is a leading expert witness firm specializing in financial services. SEDA Experts LLC support international law firms by offering the highest level of expertise across the financial industry and providing access to the most influential financial services industry leaders. SEDA Experts LLC provide superior independent advice, data analytics, valuation, and elite expert reports and testimony services to law firms, regulators, and leading financial institutions. Contact information:

FINRA taps Christine Kieffer to lead Investor Education efforts - Kieffer named SVP of Investor Education and President of The FINRA Investor Education Foundation. Date 14/07/2026 FINRA today announced that investor education and protection veteran Christine Kieffer will serve as Senior Vice President of FINRA's Office of Investor Education and President of the FINRA Investor Education Foundation (FINRA Foundation). The appointment is effective immediately. Kieffer brings deep expertise to these roles and has been a leader in the Office of Investor Education since its inception. For more than 20 years, she has helped shape FINRA's approach to educating investors, as well as core FINRA Foundation programming. This includes collaborating with government agencies, non-profit organizations, and investor groups nationwide to advance financial capability, investor protection, and fraud prevention and intervention initiatives. As head of FINRA's Office of Investor Education, Kieffer will lead FINRA's investor education strategy. As President of the FINRA Foundation, she will direct research and education initiatives that support Americans' financial stability, investing goals and fraud prevention. "Christine combines deep investor protection expertise with a vision for educating and engaging investors in a dynamic and rapidly changing environment," said Marcia Asquith, Executive Vice President, Board and External Relations, who oversees FINRA's Office of Investor Education. "Christine's dedication to investor protection spans decades - she was present at the founding of the FINRA Foundation and has developed a number of key initiatives. I am confident she will be an outstanding leader of both entities." Kieffer is a visible and vocal advocate for investor protection and financial education. A recognized expert on financial and investment fraud, she has represented FINRA and the FINRA Foundation in public forums, media appearances and Congressional hearings, and is a published author on both financial capability and financial fraud topics. "Few people understand the Foundation's mission and impact as deeply as Christine. Since the Foundation's earliest days, she has helped shape research, education and investor protection initiatives that have benefited millions of Americans," said Jonathan Sokobin, Chief Economist at FINRA and FINRA Foundation Board Chair. "I look forward to working with her as we continue to expand our efforts to protect and educate investors." Kieffer had served as interim President of the FINRA Foundation since April. Prior to her 22 years at FINRA, Kieffer held roles at Sallie Mae and Nasdaq. She holds a B.S. in Mathematics and Economics from Vanderbilt University and is a FINRA Certified Regulatory and Compliance Professional (CRCP(R). In addition to her FINRA responsibilities, Kieffer serves as Chair of the Committee Against Financial Exploitation for the National Adult Protective Services Association. About the FINRA Investor Education Foundation The FINRA Investor Education Foundation supports innovative research and educational projects that empower Americans with the knowledge, skills and tools to make sound financial decisions throughout their lives. For more information about FINRA Foundation research and education initiatives, visit www.finrafoundation.org.