Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
Chairmen Schapiro and Gensler and Commissioners, I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. As a long- ago alum of both agencies, it is a true pleasure to have the opportunity to be here today.
I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
I am Daniel M. Sibears, Vice President, Member Regulation of NASD Regulation, Inc. (NASDR). I appreciate the opportunity to appear before you today to give the views of the National Association of Securities Dealers, Inc. (NASD) on the examination of the securities activities of banks and other financial institutions.
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record. NASD strongly supports H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003.
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
