Remarks About the National Financial Capability Study
Remarks from the FINRA Annual Conference
Remarks From the National Compliance Outreach Program for Broker-Dealers
Remarks From the Consumer Federation of America Consumer Assembly
Remarks from the Investment Program Association Fall Conference
The Financial Industry Regulatory Authority (FINRA) appreciates the opportunity to submit this statement for the record of the Committee’s hearing to examine fraud among senior investors.
The speed of change in the financial industry means that firms must work diligently to remain current—and a great way to do that is by attending events like this, sharing ideas with your peers and discussing your concerns with regulators. This is a great point in the year to reflect on what has transpired so far in 2012 from a regulatory perspective and discuss many current areas of focus for FINRA.
Remarks from the Bond Dealers Association Annual Conference
I'm pleased to have this opportunity to talk to you about complex products in the retail market. Complex products have grown in importance as retail customers search for yield and firms look for innovative products to meet this demand and generate revenue.
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
