Remarks About the National Financial Capability Study
Testimony Before the Committee on Financial Services
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.
Cybersecurity and Cyber-Enabled FraudAnti-Money Laundering, Fraud and SanctionsManipulative TradingPrevious:How to Use the ReportUp:Financial Crimes PreventionNext:Cybersecurity and Cyber-Enabled Fraud
Compass Capital Corporation appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations
Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions
