Congressional Activity

One senator characterized the “calamitous failure” to detect Bernard Madoff’s alleged Ponzi scheme as the “darkest” chapter in the country’s regulation of the financial services ...

FINRA CEO - and SEC Chairman nominee - Mary Schapiro talked with SEC Chairman Christopher Cox last August about her growing concerns that many in ...

One of the first things FINRA CEO Mary Schapiro would do if confirmed as the next chairman at the SEC is to “take the handcuffs ...

This is the 1996 law passed by Congress called the National Securities Markets Improvement Act or NSMIA.