Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
FINRA has revised the following examination programs:
NASD Notice of Meeting and Proxy
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
