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The (POGO) Blog

December 6, 2013

By Michael Smallberg

Court to Consider Secret Regulation of Wall Street



FINRA The public has a right to know how the government polices the Financial Industry Regulatory Authority (FINRA), an industry-funded self-regulatory group, according to an amicus brief filed this week by POGO and its allies.

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Topics: Financial Sector

October 17, 2013

By Avery Kleinman

Wall Street Erases Its Own Mistakes



Financial Oversight An online database serves as a repository of Wall Street brokers’ bad behaviors, allowing the public to check for any red flags before investing, but a new report found that in the vast majority of cases, brokers who asked to have bad marks removed from th

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Topics: Financial Sector

June 16, 2011

By Michael Smallberg

SEC Withholds Records on Oversight of Self-Regulatory Group



Finra sign Suzanne Barlyn's latest column in Dow Jones Compliance Watch raises new concerns about the Securities and Exchange Commission's (SEC) Freedom of Information Act (FOIA) practices and the lack of transparency at the Financial Industry Regulatory Authority (F

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Topics: Financial Sector

August 18, 2010

By Michael Smallberg

Brokerages Demand Greater Transparency from Self-Regulatory Organization



You don’t often hear about regulated entities calling on a regulator to be more open and transparent about its oversight activities. Yet that’s exactly what happened last week at the 2010 annual meeting of the Financial Industry Regulatory Authority (FINRA

Continue Reading Brokerages Demand Greater Transparency from Self-Regulatory Organization

Topics: Financial Sector

March 5, 2010

By Michael Smallberg

Judge's Ruling Helps FINRA Keep Its Records Behind Closed Doors



As described in our latest podcast, POGO sent a letter to Congress last week calling for increased oversight of the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization (SRO) that oversees thousands of securities broker-dealers, and is supposed to be looking out for the interests of the investing public.

Continue Reading Judge's Ruling Helps FINRA Keep Its Records Behind Closed Doors

Topics: Financial Sector

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Podcast; Social Media, Internet Provides Opportunities, Challenges for Lawmakers

The Congressional Management Foundation offers the Gold Mouse Awards annually to members of Congress who make the most of the opportunity the digital world offers them. POGO spoke with members of Rep. Mike Honda's communications team about their award.