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Displaying 61 - 70 of 6583 Results
Speech / Testimony
Remarks at the Research Center on the Prevention of Financial Fraud 2011 Conference
November 3, 2011
… Richard G. Ketchum Chairman and CEO Remarks at the Research Center on the Prevention of Financial Fraud 2011 Conference November 03, 2011 Washington, DC As prepared for delivery. Opening Good … when there are indications of fraud or widespread customer harm. In October 2009, we established FINRA's Office of Fraud Detection and Market Intelligence. This unit provides a heightened review of incoming …
Speech / Testimony
Testimony Before a Hearing on Examination of Financial Institutions and Their Affiliated Broker-Dealers
October 8, 1997
… Daniel M. Sibears Vice President, Member Regulation Testimony Before a Hearing on Examination of Financial Institutions and Their Affiliated Broker-Dealers October 08, 1997 United States House of … Contracts Examination, Trading and Market Making Examination, Sales Practice Examination, Special Branch Office Examination, Government Securities Examination, Insider Trading, and Continuing Education. Examiners …
Virtual Conference Panel
Financial Crimes, Trends and Responses – In the Midst of the Pandemic
June 9, 2020
… Financial Crimes, Trends and Responses – In the Midst of the Pandemic June 09, 2020 COVID-19 has altered the … efforts to combat the highest priority cyber threats.  Mr. Ruppert began his FBI career in the Boston Field Office specializing in complex corporate and securities fraud, money laundering, financial crimes, and cyber …
Events & Training
Communication Between Adult Protective Services (APS) and Professional Reporters of Financial Exploitation
March 3, 2021
… Communication Between Adult Protective Services (APS) and Professional Reporters of Financial Exploitation March 03, 2021 Panelists explore the evolving regulatory structure surrounding senior … Department of Disability and Aging Services Kyle Innes Associate Director, State Government Affairs FINRA Office of Government Affairs Debbie Noury Senior Director, Elder Financial Exploitation Investigations …
Investor Alert
Job Dislocation—Managing the Financial Impact of Unexpected Job Loss
March 7, 2018
… Investor Alert Job Dislocation—Managing the Financial Impact of Unexpected Job Loss You may not be able to control if or when your company closes a plant … to assist you. Inquire about Unemployment Insurance: A representative of the state's unemployment insurance office will likely be at your workplace to offer guidance and assistance in filling out the necessary …
News Release
FINRA Investor Education Foundation and the American Library Association Announce $1.5 Million in Grants to Public Libraries to Support Grassroots Financial Literacy
January 13, 2010
… the American Library Association Announce $1.5 Million in Grants to Public Libraries to Support Grassroots Financial Literacy Washington, D.C.— The Financial Industry Regulatory Authority (FINRA) Investor Education … and the American Library Association (ALA) have announced $1,522,122 in grants to 19 recipients as a part of the Smart investing‌@your library ® initiative to provide millions of library patrons with effective, … locations, inclusive of workshops and group counseling sessions offered in partnership with New York City's Office of Financial Empowerment and other city agencies. The library will also conduct workshops at multiple …
News Release
FINRA Investor Education Foundation and the American Library Association Announce $1.8 Million in Grants to Public Libraries to Support Financial Literacy
February 2, 2015
… and the American Library Association Announce $1.8 Million in Grants to Public Libraries to Support Financial Literacy WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education … and the American Library Association (ALA) have announced $1.8 million in grants to 21 recipients as part of the Smart investing‌@your library ® initiative. Smart investing‌@your library ® is administered jointly by … $100,000 Chicago Public Library, Chicago, IL The Chicago Public Library will collaborate with the city's Office of Financial Inclusion to improve access to financial education and online financial skill-building for …
News Release
FINRA Investor Education Foundation and the American Library Association Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy
January 13, 2014
… and the American Library Association Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education … and the American Library Association (ALA) have announced $1.19 million in grants to 17 recipients as part of the Smart investing‌@your library ® initiative. Smart investing‌@your library ® is administered jointly by … empowerment fair with in-person and virtual components delivered in conjunction with the New York City Office of Financial Empowerment and the Bedford-Stuyvesant Restoration Corporation. Grant amount: $100,000 …
The Alert Investor
Are You A Victim of Financial Fraud?
July 29, 2015
… Scams Are You A Victim of Financial Fraud? July 29, 2015 Michelle Volpe-Kohler If So, Here’s What You Should Do. You’ve just realized … are investigated, which may help prevent damage to others. You can contact any local law enforcement office to file a police report. You can also contact your local district attorney’s office and your state …
Speech / Testimony
Testimony Before the Committee on Financial Services
October 6, 2009
… Richard G. Ketchum Chairman & CEO, FINRA Testimony Before the Committee on Financial Services October 06, 2009 Chairman Frank, Ranking Member Bachus and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or … surrounding review of employer/employee arbitration matters. In March 2009, we established FINRA's Office of the Whistleblower to handle high-risk tips. FINRA has also just announced the establishment of a new …