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Remarks at the Security Traders Association Annual Conference
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
Remarks From the Financial Services Institute Advocacy Summit
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Remarks at the IRI Government, Legal and Regulatory Conference
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
Remarks at the FINRA Annual Conference
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Remarks at the SIFMA Compliance and Legal Division's Annual Seminar
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
Remarks at the FINRA Fixed Income Conference
An audio podcast of this speech is available for download
Remarks at the CCOutreach BD National Seminar
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
Testimony Before the Subcommittee on Securities, Insurance, and Investment
I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today on the important issues of how markets and trading have evolved, and how we can enhance the information regulators receive to ensure market integrity and the protection of investors.