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Special Report on

Financial Industry Regulatory Authority

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(FINRA) today is proposing the expansion of FINRA’s Trade Reporting and Compliance Engine TM (TRACE TM) to include all asset-backed securities (ABSs), including mortgage-backed securities (MBSs) and collateralized debt obligations (CDOs). As with the original implementation of TRACE in 2002, FINRA would initially only collect ABS transaction data. After detailed analysis and observation of the market, FINRA would determine whether dissemination of ABS data is appropriate. “For regulators, there is a demonstrated need for ABS market information,” said Richard G. Ketchum, FINRA Chairman and Chief Executive Officer. “Greater ...
the securities industry self-regulatory organization for broker-dealers and exchanges in the United States, and served in various roles as a financial services regulator in the administrations of Bill Clinton , George H. W. Bush , and Ronald Reagan . She is the first woman to chair the SEC. 3 Schapiro has been the subject of controversy. : There are tags on this page, but the references will not show without a tag.
SEC Admits to Inadequate Tools to Conduct Investigation « Aletho News
SEC Chair Mary Schapiro made a stunning admission during House subcommittee hearings last week seeking answers to the May 6 hit and run in the stock market which briefly trimmed 998 points off the Dow and caused massive losses to small investors who had placed stop loss orders on individual stocks. According to Ms. Schapiro, the SEC has no consolidated audit trail that captures time and sales in a chronological order among the 40 or more electronic trading platforms and exchanges that constitute today’s deeply fragmented U.S. stock market. Ms. Schapiro said in her testimony before the House Subcommittee on Capital ... market research, surveys and trends
GM Posts $865 Million Net Income in Push for Offering | Savvy Investor
(Bloomberg) — General Motors Co. reported first- quarter net income of $865 million, helped by higher production and smaller discounts, as the maker of the GMC Terrain and the Chevrolet Equinox works toward an initial public offering. Operating profit was $1.2 billion in the first three months of the year, and the company generated $1 billion in free cash flow, Detroit-based GM said today in a statement. Revenue rose 40 percent from the same period a year earlier to $31.5 billion. Chief Executive Officer Ed Whitacre has said reporting a profit is a necessary milestone as the biggest U.S. automaker seeks freedom from ... market research, surveys and trends


GAO-08-32 Financial Regulation: Industry Trends Continue to ...
Oct 12, 2007 ... Financial Industry Regulatory Authority (FINRA) which is responsible ..... about 61 percent over this same period from about $172 billion to ... industry trends, business articles and survey research
GM Rises After Pelosi Urges Industry Aid Plan Passage (Update4 ...
In backing an emergency aid plan, Pelosi rejected calls to let the largest U.S. automaker collapse, saying she wanted to stop the loss of millions of jobs. Today, House Financial Services Committee Chairman Barney Frank proposed tapping $25 billion from the $700 billion in bank-rescue funding. ``Trying to reorganize the auto industry in bankruptcy would be as close to reorganizing the whole U.S. economy as you could get,'' said Alan Gover , a bankruptcy lawyer with White & Case LLP in New York. ``The vast supply chain involves thousands of businesses, millions of existing jobs and just as many retirees, as well ... industry trends, business articles and survey research
Brokers' Muni-Bond Fees May Overwhelm Interest With Yields at 40-Year Low
Peter Kuhn, an investor from San Jose, California, who owns more than $1 million in municipal bonds, scours pricing websites and uses Zions Bancorporation’s online brokerage to avoid getting overcharged when he buys tax- exempt debt. Consumers who aren’t as savvy may be paying more than they have to for state and local obligations in the $2.8 trillion U.S. municipal market, where individuals and mutual funds hold about two-thirds of outstanding securities. Firms selling to customers mark up the price an average $5 to $10 per $1,000 bond, or 0.50 percent to 1 percent, said Thomas Doe , chief executive officer of Municipal Market ... market trends, news research and surveys resources
Hiring Continues at Baird
Baird announced Tuesday it hired eight advisors and two branch managers from Morgan Stanley Smith Barney to support new offices in Charleston, S.C., and Fort Worth, Texas area. According to filings from the Financial Industry Regulatory Authority, the most recent hire is Charles Knowlton, who spent eight years at Smith Barney and is now a senior vice president, branch manager and financial advisor at the firm’s new Charleston office. Baird said in a statement that Knowlton will overseeing his own clients, and has a total of 37 years of financial service experience. The veteran advisor managed to lure his team from Morgan ... market trends, news research and surveys resources


No-Action Letter: Financial Industry Regulatory Authority
Sep 1, 2009 ... On behalf ofthe Financial Industry Regulatory Authority ("FINRA"), you have asked for interpretive guidance as to how the Securities and ... technology research, surveys study and trend statistics
Regulatory Notice 10-06
FINRA staff and industry representatives to discuss how firms and their .... correspondence in Regulatory Notice 07-59 (FINRA Guidance Regarding Review ... technology research, surveys study and trend statistics
Smart Investing series offered across Iowa with new grant ...
The Smart investing @ your library® initiative will continue to provide thousands of Iowans with unbiased investor education through a renewed FINRA grant to the State Library of Iowa. Iowa is the only state library and one of only 19 institutions nationwide to receive funding in 2010 from the FINRA and ALA. Image used with permission from the American Library Association. By Laura Dillavou For the past two years, a grant from the American Library Association (ALA) and the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation, in conjunction with Iowa State University Extension, has made learning to ...
  1. profile image nomorelayoffs Hiring Continues at Baird: According to filings from the Financial Industry Regulatory Authority, the most recent ...
  2. profile image SocialNetBible Clear Policy Is Key in Social-Networking Compliance: When the Financial Industry Regulatory Authority (FINRA) deci...
  3. profile image neetsey BEVERLY HILLS, Calif. -- A Los Angeles based Financial Industry Regulatory Authority arbitration panel awarded
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WikiAnswers - What's the regulatory authority in the UK for ...
Stated on the Authority's website, , the FSA was "...given statutory powers by the Financial Services and Markets Act 2000." It has either subsumed or replaced regulatory functions of the smaller U.K. self-regulatory organisations (SROs), the: o Securities and Futures Authority (SFA) o Investment Management Regulatory Organisation (IMRO) o Personal Investment Authority (PIA), and o Securities and Investment Board (SIB) Its organisation is similar to that of the Financial Industry Regulatory Authority (FINRA), the main SRO in the U.S., but FSA is responsible for greater direct accountability ...
Financial Coach | Ask MetaFilter
Are there online financial coaching services—not investment financial planners or debt counselors--for debt-free people fed up with researching every personal money decision? I’d love a subscription to a financial coaching service, along the lines of a personal shopper—they know what’s in someone’s closet and can tell them what to pull out of the closet or buy for a wedding/job interview. I’ve already done all the heavy lifting—no debt; downsized; funded the IRAs and just happened to be in cash already; sold the house before everything tanked. But I am sick of researching everything to death. I’d supply my financials and ...