US Securities and Exchange Commission - VALIC

SEC, MSRB, FINRA to Hold Compliance Outreach Program…

Washington D.C., July 16, 2020 — The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for…

FINRA

Reg BI Implementation Going Well Despite COVID

Despite challenges from coronavirus, American broker/dealers have done an admirable job implementing the new Regulation best interest. Meredith Cordisco and Jim Wrona are both members FINRA’s Office of General Counsel and they were the latest…

Finra

Financial Exploitation of Seniors Rising

FINRA is the Financial Industry Regulatory Authority, a self-regulatory organization formed in 2007 when the regulatory arms of the NYSE and the NASD merged and has been looking after the financial exploitation aspect too. Chris…

Finra

FINRA Creates COVID Task Force

FINRA, the Financial Industry Regulatory Authority, has formed a task force for COVID related crimes. Greg Ruppert is the new head of the National Cause and Financial Crimes Detection Programs (NCFC) at FINRA and he…

Finra

FINRA Explains Gateway Transition

FINRA, the Financial Industry Regulatory Authority, hopes upgrades in its compliance portal will leverage technology. FINRA recently held a virtual conference entitled “FINRA Gateway.” This conference was about the transition from FIRM Gateway to FINRA…

Meet FINRA’s New Financial Crime Detector

FINRA’s man in charge of investigating financial crimes has a varied background, including hostage negotiation. Greg Ruppert is FINRA's new Executive Vice President of the National Cause and Financial Crimes Detection Programs and he was…