Senator Elizabeth Warren in Senate Banking subcommittee hearing Regulatory Reforms to Improve Equity Market Structure, March 3, 2016
Senator Warren uses our paper to discuss regulatory steps taken by FINRA chairman to address misconduct in the market of financial advisers.
Letter from Senators Elizabeth Warren (D-Mass.) and Tom Cotton (R-Ark.) to FINRA Chairman Richard Ketchum, May 11, 2016.
The letter discusses misconduct among financial advisers and the labor market consequences citing our work.
National Exam Program by the Office of Compliance Inspections and Examinations and the Securities and Exchange Commission, September 2016.
The document discusses compliance oversight and controls of investment advisers with high risk of misconduct, discussing and based on our work.
Massachusetts Securities Division’s Sweep of Select Broker-Dealers that Hire Bad Agents, December 2016.
The report discusses steps taken by the regulators in monitoring of high-risk and recidivist brokers, following the evidence from our work.
FINRA Regulatory and Examination Priorities Letter, Jan 2017.
The letter discusses FINRA paying particular attention to firms’ hiring and monitoring of high-risk and recidivist brokers, following the evidence from our work.