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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.
Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions
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
Financial institutions have an obligation to safeguard your personal financial information, but you have an important role to play as well. Understanding how customer account takeover incidents and theft of personal financial information might occur and taking steps to minimize your risk can make a difference.
Evaluating a public company's financial performance can be complicated. Understanding the terms and ratios used to measure profitability and financial performance can helping you determine how well a company is performing over time and how its valuation compares with industry peers.
