Financial Industry Regulatory Authority (FINRA)

letters

POGO Opposes Self-Regulation for Swaps and Futures Markets POGO Joins in Urging CFPB to Put More Consumer Complaints Online POGO Opposes Self-Regulation of Investment Advisers POGO and Allies Urge Congress to Provide Full Funding to CFTC Groups Oppose Legislation to Gut SEC and CFTC Whistleblower Programs POGO and Allies Oppose Bill That Would Hobble SEC POGO Letter Regarding Legislative Proposals to Reform the Securities and Exchange Commission POGO Letter Opposing Legislative Proposal to Create a Self-Regulatory Organization for Investment Advisers POGO's Public Comment Regarding the SEC's Whistleblower Award Program POGO Letter to FINRA Calling for Open Board Meetings Groups Support Bipartisan Senate Bill to Strike SEC FOIA Exemptions Groups Call on Congress to Remove SEC Secrecy Measure POGO Letter to Congressional Conferees Calling for Accountability and Transparency in Financial Regulatory Reform Legislation POGO Letter in Support of Grassley Amendment to Strengthen Inspector General Indpendence Letter in Support of Grassley Amendment to Expose and Slow the Revolving Door at Financial Regulatory Agencies POGO Letter in Support of McCaskill Amendment to Improve Coordination Between Financial Agency Inspectors General POGO Letter to Congress Calling For Increased Oversight of Financial Self-Regulators POGO Letter to SEC Chairman Mary Schapiro Regarding Loopholes in Proposed Rule to Increase Transparency for Troubled Assets POGO Letter to SEC Chairman Mary Schapiro Regarding the SEC's Failure to Act on Hundreds of Inspector General Recommendations POGO OpposesLloophole in Derivatives Overhaul Legislation POGO Letter to Congressional Oversight Committee Leaders Concerning Certain Financial Companies Seeking Backdoor Access to TARP Funds

Latest

Court to Consider Secret Regulation of Wall Street

analysis | December 6, 2013

Latest

Self-Regulatory Group Introduces Revolving Door Rule -- But Does It Go Far Enough?

analysis | July 14, 2011

SEC Withholds Records on Oversight of Self-Regulatory Group

analysis | June 16, 2011
Brokerages Demand Greater Transparency from Self-Regulatory Organization

analysis | August 18, 2010
FINRA's Enforcement Chief to Step Down

analysis | March 18, 2010
Judge's Ruling Helps FINRA Keep Its Records Behind Closed Doors

analysis | March 5, 2010