Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Schedule C to the NASD By-Laws that would permit Direct Participation Programs Representatives and Principals to sell partnership debt. The text of the amendments
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718
Syndicated conservation easements (SCETs), which are a common type of charitable conservation contribution, top the 2021 “Dirty Dozen” list of tax scams published by the Internal Revenue Service (IRS) in July.
View detailed course information and launch dates below. To prepare, firms can sign up for FINRA’s Financial Learning Experience™ (FLEX™) platform, where courses will be available in addition to other e-learning providers. Individuals who are interested should work with your firm’s continuing education contact to express interest internally.Our self-paced e-learning courses develop and expand
When it comes to calling the shots at a public company, CEOs run businesses on a day-to-day basis, but the board of directors shares in oversight of the company business. A public company’s board of directors is chosen by shareholders, and its primary job is to look out for shareholders’ interests.
Customers who pursue civil remedies or arbitration claims against investment professionals cannot always recover on their judgments or awards. Customers encounter this challenge across the forums in which they may pursue action— whether state or federal court, a dispute resolution forum administered by a regulator, a private arbitration venue, or otherwise — and across the range of financial
Trading Pause Rule Expanded to All NMS Stocks
