Financial Industry Regulatory Authority
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FINRA Announces Enhancements to Advisory Committees to Increase Transparency, Improve Effectiveness
on 11/15/2017 at 5:00 AM
Changes Are Part of Ongoing FINRA360 Initiative WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced several changes to its advisory committees to increase transparency around the committees and improve their effectiveness as a vehicle for firms to provide input […]
FINRA Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer
on 11/09/2017 at 5:00 AM
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel barred broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessively trading the accounts of his customer – a blind, elderly widow – and […]
FINRA Foundation and Filene Research Institute Provide Free Resources to Help Credit Unions and Employers Launch Small-Dollar Loan Program to Support Employee Financial Wellness
on 11/02/2017 at 4:00 AM
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) and the Filene Research Institute (Filene) today announced the availability of free resources to help credit unions and employers with turn-key start-up of a small-dollar loan program designed to help workers avoid the […]
FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
on 10/26/2017 at 4:00 AM
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Susan F. Axelrod will leave FINRA for other opportunities in the private sector after 28 years of service at the organization and its predecessor, NYSE Regulation. Axelrod has served as FINRA’s […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
SEC Names Paul G. Cellupica as Deputy Director of...
on 11/20/2017 at 9:00 PM
The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Deputy Director of the agency's Division of Investment Management. Mr. Cellupica will oversee a number of the division's strategic, rulemaking, and industry engagement initiatives. He will also serve […]
SEC Announces Agenda and Panelists for the 36th...
on 11/16/2017 at 7:45 PM
The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation. The November 30 event will begin at 9 a.m. Central Standard Time (10 a.m. Eastern Standard Time) with opening remarks from the SEC […]
SEC Enforcement Division Issues Report on...
on 11/15/2017 at 10:00 PM
In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report highlighting its priorities for the coming year as well as a review of enforcement actions that took place during FY 2017. In the report, […]
SEC Announces the Formation and First Members of...
on 11/09/2017 at 10:00 PM
The Securities and Exchange Commission today announced the formation and first members of its Fixed Income Market Structure Advisory Committee. The committee, whose initial focus will be on the corporate bond and municipal securities markets, will provide advice to the Commission on the […]