Regulation

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  FINRA Names Its First EVP of Regulatory Ops

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.

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  FINRA Regulatory Head Luparello Leaving to Join D.C. Law Firm

  By Melanie Waddell, AdvisorOne  |  September 4, 2012

  FINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.

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  FINRA Hires Colby as Chief Legal Officer

  By Melanie Waddell, AdvisorOne  |  May 7, 2012

  FINRA announced Monday that it has hired Robert L. D. Colby as its chief legal officer to oversee the corporate and regulatory functions of the Office of General Counsel, along with the Regulatory Policy Group.

• Top Women in Wealth: Influencer

  By Editorial Staff  |  April 1, 2009

  In a field where they make up barely 25% of practitioners, women in wealth management are changing the style and tone of the profession. Just...

• News and Products

  By Kara P. Stapleton  |  August 1, 2007

  NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization formed by the consolidation of NASD and NYSE Member Regulation will be called...

• New Super SRO Named

  By Melanie Waddell, AdvisorOne  |  June 21, 2007

  Mary Schapiro announced in a speech June 19 that the new self-regulatory organization (SRO) formed by the consolidation of NASD and NYSE Member Regulation is called the Securities Industry Regulatory Authority (SIRA).

• NEWS & PRODUCTS APRIL 2007

  By Kara P. Stapleton  |  April 1, 2007

  Utah's House of Representatives voted in March 167-7 to pass legislation that repeals a May 2006 Utah statute requiring B/Ds to inform the state's Division...