Truth, Transparency & Accountability Initiative (TTAI)

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In 2010, during my “dwell time”* between my second tour in Iraq and my first tour in Afghanistan, I was the originator of the “Truth, Transparency & Accountability Initiative (TTAI).  The TTAI was eight (8) proposals put before the FINRA membership in order to provide for more transparency within the FINRA (With one proposal being a recommendation on which Small Firm candidates to vote for as Small Firm Governors).  Also, one of the proposals concerned the $35,000 each member received that was due to the regulatory consolidation of the NASD and the regulatory arm of the NYSE resulting in the creation of the FINRA (If your firm was not a FINRA member back then, you probably don’t know about the $35,000).  All eight proposals were adopted by the membership.