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Displaying 81 - 90 of 6583 Results
Speech / Testimony
June 6, 2012
… Richard G. Ketchum Chairman and Chief Executive Officer Testimony Before the Committee on Financial Services June 06, 2012 U.S. House of Representatives Chairman Bachus, Ranking Member Frank and Members of the Committee: I am Richard Ketchum, … to investors; and, may suspend or revoke FINRA's registration under the Exchange Act and remove from office or censure any FINRA officer or director. The United States has a long and successful experience with …
Speech / Testimony
May 17, 2016
… Richard G. Ketchum Chairman and Chief Executive Officer Remarks at the Financial Accounting Foundation Board of Trustees Dinner May 17, 2016 Washington, DC Good evening. Thank you, … supervisors are effective role models of firm culture; and whether sub-cultures—for example, at a branch office, on a trading desk or in an investment banking department—that may not conform to overall corporate …
Interpretive Letter
August 9, 2001
… Interpretive Letter to Joe Tully, Commonwealth Financial Network August 9, 2001 Joe Tully Legal and Compliance Counsel Commonwealth Financial Network One University Office Park 29 Sawyer Road Waltham, MA 02453-3483 Re: Representative Purchase of Book of Business Pursuant to NASD IM-2420-2 Dear Mr. Tully: I am responding to your letter dated May 24, …
Interpretive Letter
April 2, 2003
… Interpretive Letter to Jess Haberman, royalblue financial corporation April 3, 2003 Mr. Jess Haberman Vice President, Compliance royalblue financial … and Paul McKenney on December 16, 2002 in which you request guidance from NASD staff on the application of NASD Rules 6950 through 6957 (the "OATS rules") and Notice to Members 01-85 (December 2001) to orders … NASD, Market Reg. - Quality of Mkt. Cathleen Shine, Sr. Vice President and Director NASD, New York District Office … /rules-guidance/rulebooks/rule-letter/interpretive-letter-jess-haberman-royalblue-financial … NASD …
Speech / Testimony
February 9, 2017
… Susan F. Axelrod Executive Vice President, Regulatory Operations Remarks at SIFMA Anti-Money Laundering and Financial Crimes Conference February 09, 2017 New York, NY Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike. AML isn’t just a regulatory issue; … to the risks of the firm. In other words, if a firm takes on a new business line or opens a new branch office in a high-risk jurisdiction or begins selling a new product, the firm must make sure its suspicious …
Speech / Testimony
October 5, 2011
… Stephen Luparello Vice Chair Remarks From the Financial Services Institute Advocacy Summit October 05, 2011 Washington, DC As prepared for delivery. Good … I would like to acknowledge the constructive relationship FINRA and FSI have enjoyed since the launch of FSI seven years ago. Our Chairman, Rick Ketchum, spoke at your OneVoice conference earlier this year, and I … the places to focus. Firms with independent distributor business models or those with far-flung branch office networks understand the unique challenges presented here. But in the end, the goal is to establish a …
Investor Education
January 27, 2017
… Investor Tips Save or Shred: How Long You Should Keep Financial Documents January 27, 2017 FINRA Staff Bills, mortgages, bank statements, brokerage statements, credit card statements—being an adult certainly does require a lot of paperwork. To keep your paper trail under control, it’s important to develop a well-organized … mind, these guidelines are all geared to complying with federal tax obligations. Check with your state tax office to learn how long you should keep your state tax records. Property Records If you’re a homeowner, you …
News Release
January 31, 2013
… and the American Library Association Announce $1.12 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 $1.12 million in grants to 14 recipients as part of the Smart investing@your library ® initiative. Smart investing@your library ® is administered jointly by … by the College of Business and Public Affairs at Alabama A&M University, the Student Financial Services Office at the University of Alabama-Huntsville and Redstone Arsenal Army Community Service. Selected worksite …
News Release
June 7, 2018
… FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) Board of Directors approved initiatives at its June meeting to expand personal finance programs and services for … educators. The exhibition represents a collaboration between the FINRA Foundation and ALA’s Public Programs Office. When complete, the hands-on intergenerational exhibition will help young learners understand how money …
Interpretive Letter
August 26, 2013
… Interpretive Letter to Brian Sweeney, Trustmont Financial Group, Inc. August 26, 2013 Mr. Brian Sweeney Compliance Department Trustmont Financial Group, Inc. … Transactions Dear Mr. Sweeney: By letter dated April 25, 2013, you request guidance on the applicability of FINRA Rules, and in particular Rule 2111 (Suitability), to FINRA members' recommendations of securities … Sincerely, James S. Wrona cc: Robert B. Kaplan Vice President and District Director Philadelphia District Office 1 See SEC v. A Chicago Convention Center, et al. , No. 13CV982 (N.D. of Ill. Feb. 6, 2013), at …