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  • The Options Industry Council Announces Blair Hull As 2014 Sullivan Award Recipient

    Date 06/03/2014

    The Options Industry Council (OIC) today announced Blair Hull as recipient of the 2014 Joseph W. Sullivan Options Industry Achievement Award. This award is given annually to one individual in recognition of outstanding contributions to the U.S. options industry throughout his or her career. The 2014 Sullivan Award will be presented at the 32nd Annual Options Industry Conference to be held April 30 – May 2, in Austin, TX.

  • FINRA’s Statement On PIABA’s Public Disclosure Study

    Date 06/03/2014

    BrokerCheck is the only free online tool of its kind available to the public 24 hours a day, seven days a week. There are no forms to fill out and submit, and there is neither a time delay nor a cost to investors who receive a report. In fact, more than 75% of state securities regulators refer investors to BrokerCheck from their websites. FINRA has committed considerable resources and made significant enhancements to BrokerCheck, particularly over the last five years, to create a more user-friendly interface that allows investors to quickly access and intuitively understand the professional background of investment professionals. While the system may not be perfect, we do have to make determinations on what information about registered representatives is appropriate to release, while at the same time balancing fairness rather than ignoring it.

  • Borsa Italiana Monthly Update - February 2014

    Date 06/03/2014

    Click here to download Borsa Italiana's monthly update for February 2014.

  • Testimony Of Acting CFTC Chairman Mark P. Wetjen Before The U.S. House Appropriations Subcommittee On Agriculture, Rural Development, Food And Drug Administration, And Related Agencies

    Date 06/03/2014

    Good morning, Chairman Aderholt, Ranking Member Farr and members of the Subcommittee. Thank you for inviting me to today’s hearing on the FY 2015 President’s Budget request for the Commodity Futures Trading Commission (“Commission” or “CFTC”).

  • Remarks At AIMA Global Policy & Regulatory Forum - SEC Commissioner Michael S. Piwowar, New York, NY, March 6, 2014

    Date 06/03/2014

    Thank you, Kathy [Casey], for that kind introduction. Thank you, Kathy and Jiri [Krol], for inviting me to lead off the excellent program that AIMA has put together. I have enjoyed working with both of you over the past few years on numerous global policy and regulatory issues, which is the focus of today’s forum.

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