Testimony Before the Committee on Financial Services
Remarks From FINRA Fixed Income Conference
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Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite the delivery of
Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
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Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved a new short-sale rule for Nasdaq National Market® securities traded on The Nasdaq Stock Market™ (Nasdaq). The rule takes effect September 6, 1994, for an 18-month pilot period.
The Nasdaq® short-sale rule
New study finds lack of financial literacy linked to high levels of stress and anxiety
WASHINGTON (April 28, 2021)—A substantial number of adults in the United States between the ages of 21 and 62 felt anxiety and stress about their personal finances well before the onset of the COVID-19 pandemic, according to a new report published today. Researchers found that financial stress and anxiety are
FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations WASHINGTON — Samuel Lek, former Chief Executive Officer of Lek Securities Corporation (Lek Securities), has been permanently barred from the securities industry in all capacities, and Lek Securities was fined $900,000 for violating, among other things, FINRA and Exchange supervisory rules, and Rule 15c3-5 of the Securities Exchange Act of 1934 (the Market Access Rule). The actions were taken by
Thank you Catherine [Weatherford, NAVA President and CEO] and Lee [Covington, SVP & General Counsel, NAVA]. I'd like to begin by acknowledging my friend Mark Casady, the extremely effective chairman of the NAVA board, and thanking him for agreeing recently to serve on the FINRA Board of Governors. Mark, my colleagues and I look forward to working with you.
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Arbitration Statistics Through December
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Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
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Results of Customer Claimant Arbitration Award Cases
Results of All-Public Panels
INFORMATIONAL
Notices to Members
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KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
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Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per monthly or special