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Reported covered position: Director of the Office of Legislative Affairs at the CFTC; Senior Professional Staff, Professional Staff, Legislative Correspondent for the Senate Agriculture Committee; Staff Assistant for Senator Harkin.
How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, privacy, research and statistics as well as investor protection and education. HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm:
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2026 · third_quarter · Q3
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, capital formation as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Source: Senate LDA
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, capital formation as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, privacy, research and statistics as well as investor protection and education. HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, capital formation as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Fair Investment Opportunities for Professional Experts Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, capital formation as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Fair Investment Opportunities for Professional Experts Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, privacy, research and statistics as well as investor protection and education. HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Fair Investment Opportunities for Professional Experts Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
SECURE Data Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
SECURE Data Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, capital formation as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
To amend the Securities Exchange Act of 1934 to transfer authorities and duties of registered national securities associations to the Securities and Exchange Commission.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Equal Opportunity for All Investors Act of 2025
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Fair Investment Opportunities for Professional Experts Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Digital Asset Market Clarity Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Digital Asset Market Clarity Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Digital Asset Market Clarity Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Digital Asset Market Clarity Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Digital Asset Market Clarity Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Expanding Access to Capital Act of 2023
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. H.R.2799 - Expanding Access to Capital Act of 2023.
Expanding Access to Capital Act of 2023
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. H.R.2799 - Expanding Access to Capital Act of 2023.
American Data Privacy and Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. This also included outreach on H.R. 8152, American Data Privacy and Protection Act.
American Data Privacy and Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates. This also included outreach on H.R. 8152, American Data Privacy and Protection Act.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499 of 115th Congress) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery, and the various steps FINRA is taking to address the issue.
Financial CHOICE Act of 2017
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Financial CHOICE Act of 2017
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
Financial CHOICE Act of 2017
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
2026 · second_quarter · Q2
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, data privacy, as well as investor protection and education. HR 3339-Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, H.R.8413 - SECURE Data Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2026 · first_quarter · Q1
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, privacy, research and statistics as well as investor protection and education. HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · fourth_quarter · Q4
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, digital asset market structure, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, HR 3394 - Fair Investment Opportunities for Professionals Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · third_quarter · 3A
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · second_quarter · 2A
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · third_quarter · Q3
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · second_quarter · Q2
Regulation of brokers-dealers, securities industry and markets, self-regulatory organizations, data security, social media, privacy, research and statistics as well as investor protection and education. HR 3633 - Digital Asset Market Clarity Act of 2025, HR 3339 - Equal Opportunity for Investors Act, and HR 2689.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2025 · first_quarter · Q1
Regulation of brokers-dealers, securities industry and markets, data security, social media, privacy, research and statistics as well as investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2024 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, research and statistics as well as investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2024 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, research and statistics as well as investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2024 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, research and statistics as well as investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2024 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, research and statistics as well as investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2023 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2023 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. H.R.2799 - Expanding Access to Capital Act of 2023.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2023 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. H.R.2799 - Expanding Access to Capital Act of 2023.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2023 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2022 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. This also included outreach on H.R. 8152, American Data Privacy and Protection Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2022 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates. This also included outreach on H.R. 8152, American Data Privacy and Protection Act.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2022 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: Ginnie Mae, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2022 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2021 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2021 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2021 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2021 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRAs COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2020 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRA's COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2020 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRA's COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2020 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRA's COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2020 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion. Also includes information on FINRA's COVID 19 actions and updates.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets, including investor protection and education and diversity and inclusion.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019 · first_quarter · Q1
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499 of 115th Congress) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery, and the various steps FINRA is taking to address the issue.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, including enforcement and whistleblower issues. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · third_quarter · Q3
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · second_quarter · 2A
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · second_quarter · Q2
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · first_quarter · Q1
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office, White House Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · third_quarter · 3A
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of