WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
An audio podcast of this speech is available for download
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
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.
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
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.
Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
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Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
