MSRB 2014 Annual Report

MSRB PUBLISHES 2014 ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTSAlexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today published its 2014 Annual Report, which highlights important advances in municipal advisor regulation, enhancements to … Continue reading MSRB 2014 Annual Report

FINRA Investor Education Foundation & the American Library Association Announce $1.8 million in Grants to Public Libraries to Support Financial Literacy

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.8 million in grants to 21 recipients as part of the … Continue reading FINRA Investor Education Foundation & the American Library Association Announce $1.8 million in Grants to Public Libraries to Support Financial Literacy

Industry Supports Total Loss Absorbency Requirement to Help Ensure G-SIBs Can Be Resolved in an Orderly Manner without Taxpayer Assistance

Industry's empirical analysis shows FSB's TLAC calibration is higher than needed New York, NY - Today, The Clearing House (TCH), the Securities Industry and Financial Markets Association (SIFMA), the American … Continue reading Industry Supports Total Loss Absorbency Requirement to Help Ensure G-SIBs Can Be Resolved in an Orderly Manner without Taxpayer Assistance

SEC: Investor Advisory Committee Quarterly Meeting

10:00 a.m.       Investor Advisory Committee Quarterly Meeting See IAC Agenda Location: SEC Headquarters, Multipurpose Room, 100 F Street, N.E., Washington, D.C. Contact: Frankie White, 202-551-4310

FINRA Testimony: CEO Rick Ketchum

Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.  

2015 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

FINRA's Annual Conference provides compliance professionals, securities attorneys, and other industry leaders with the opportunity to hear regulatory priorities and share compliance solutions. Click here for further details. FINRA Annual Conference … Continue reading 2015 FINRA Annual Conference

FINRA Boot Camp: Suitability & Managing Conflicts

Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States

Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts

$195.00
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