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Displaying 51 - 60 of 6583 Results
Speech / Testimony
September 16, 2014
… John J. Brennan Lead Director, FINRA Board of Governors Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees September 16, 2014 … of Daniel Kahneman, Amos Tversky, Richard Thaler, and others about investor behavior have led directly to innovation in retirement plans—think auto-enrollment...and single-fund choices—think target-date funds. Again, …
Blog Post
July 12, 2021
… Why The Best Mid-Sized Company to Work In IT Is A Financial Regulator – FINRA. Again. July 12, 2021 Steve Randich When you think of the best work environment in information technology, you probably think of a place where you can do highly … contribution and perspective, and invests in your ability to reach your potential. Where collaboration and innovation are among the core values. You might not think of a securities regulator. But think again. For the …
News Release
September 7, 2017
… FINRA CEO Robert Cook Testifies Before House Financial Services Subcommittee on Capital Markets, Securities, and Investment WASHINGTON — Robert W. Cook, President and CEO of the Financial Industry Regulatory Authority (FINRA) today testified before the U.S. House of … last fall they enhanced that oversight by establishing the FINRA and Securities Industry Oversight (FSIO) office—roughly 45 staff members who conduct comprehensive reviews of our operations. We welcome this extensive …
Regulatory and Compliance Alerts (RCA)
June 1, 2002
… 2002 Regulatory & Compliance Alert - Summer 2002.pdf … … … … … Regulatory & Compliance Alert A PUBLICATION OF NASD New NASD Publication to Aid Member Firms’ Compliance In order to assist member firms’ compliance … should have established risk management procedures addressing all aspects of their businesses, prudent financial controls, and well thought-out business continuity plans. In order to avoid breakdowns in the … to the public. View our Analyst Recommendations Web Page at http://www.nasdr.com/analyst_guide.htm. Branch Office Supervision. Sales practice violations by individual registered representatives are a continuing area …
Speech / Testimony
May 13, 2011
… G. Ketchum Chairman and CEO Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services May 13, 2011 U.S. House of Representatives Chairman Neugebauer, Ranking Member Capuano and Members of the Subcommittee: I am Richard … detection in a single unit, while focusing our examination program on finding fraud. FINRA created the Office of the Whistleblower in early 2009 and, later that year, built upon that model by establishing the …
Virtual Conference Panel
September 10, 2020
… Financial and Operational Effective Practices September 10, 2020 This session provides an overview of proposed … to monitor financial and operational risks. Moderator: William Wollman Executive Vice President FINRA Office of Financial and Operational Risk Policy Speakers: Kris Dailey Vice President FINRA Office of Financial …
Rule
… (a) Notice of Requirements and/or Restrictions; FINRA Action FINRA staff may issue a notice directing a member to comply … for a letter of withdrawal of the notice, the member may file a written request for a hearing with the Office of Hearing Officers pursuant to Rule 9559 ; (8) inform the member of the applicable deadline for filing … of the Notice (1) Additional Requirements and/or Restrictions If a member continues to experience financial or operational difficulty specified in Rule 4110 or 4120 or 4130 , notwithstanding an effective …
Speech / Testimony
May 23, 2002
… Daniel M. Sibears Senior Vice President and Deputy Member Regulation Testimony Before the Committee on Financial Services Subcommittee on Investigations and Oversight May 23, 2002 U.S. House of Representatives Introduction On behalf of the National Association of Securities Dealers ("NASD"), I want … As soon as this matter came to light, Lehman Brothers notified both the NASD (through our Cleveland office) and the NYSE . Because the matter appeared to involve internal financial control issues, and the NYSE …
Speech / Testimony
May 1, 2015
… CEO Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services May 01, 2015 U.S. House of Representatives Chairman Garrett, Ranking Member Maloney and Members of the Subcommittee: On behalf of the … where our examiners focus. In 2014, FINRA conducted over 1,600 routine cycle examinations and 933 branch office examinations. We also conducted over 4,000 cause examinations, which are narrow, targeted exams that …
News Release
September 14, 2016
… FINRA Fines Ameriprise Financial Services, Inc. $850,000 for Failing to Supervise the Transmittal of Funds From Customer Brokerage Accounts Office Manager Took $370,000 From Own Family’s Brokerage Accounts WASHINGTON — The Financial Industry …