Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers).
FINRA Revises the Series 9/10 Examination Program
SEC Approves Amendments to NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform to JOBS Act Requirements
FINRA provides these resources to assist member firms with managing and addressing potential risks and threats that may pose harm to their business, compliance programs and investors, including:highlights of recent risks observed in FINRA’s regulatory programs;observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andFINRA resources, that
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
