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Washington, DC - The FINRA Investor Education Foundation Military Spouse Fellowship Program has opened the application process for new fellows, and military spouses can apply until April 30, 2010.
Washington, DC - The National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA) issued a ruling today dismissing charges that Kenneth Pasternak, former CEO of Knight Securities, L.P., and John Leighton, former head of the firm's Institutional Sales Desk, were responsible for supervisory failures in connection with alleged fraudulent sales to institutional customers.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and United Way Worldwide (UWW) have announced nearly $1.5 million in grants to 12 recipients to extend the reach of community-based financial education programs across the country.
Washington, DC - Monday, March 1 marks a major expansion of the Financial Industry Regulatory Authority (FINRA) Trade Reporting and Compliance Engine (TRACE) - to include debt issued by federal government agencies, government corporations and government-sponsored enterprises (GSEs), as well as primary market transactions in new corporate debt issues.
The Chartered Institute for Securities & Investment (CISI), the ICMA Centre at the Henley Business School and the Financial Industry Regulatory Authority (FINRA) of the US announce that they have joined forces to support and enhance education, training and certification in financial compliance.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
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.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
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
Good morning, Mr. Chairman, Senator Gramm, Members of the Committee. On behalf of the NASD, I want to thank the Committee for this opportunity to testify – and to commend you for holding a timely hearing on a vital subject.