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  • FINRA Enforcement Executive Director James Shorris Returning To Private Sector

    Date 18/02/2011

    The Financial Industry Regulatory Authority (FINRA) announced today that James S. Shorris, who has served for more than seven years in leadership positions for FINRA's Enforcement Department and that of its predecessor, NASD, will leave the organization in April to return to the private sector. Shorris has been responsible for directing the investigation and prosecution of disciplinary actions at the national and district levels.

  • SEC Executive Director Diego Ruiz To Leave Agency

    Date 18/02/2011

    The Securities and Exchange Commission announced today that its Executive Director, Diego Tomás Ruiz, intends to leave the agency to return to the private sector.

  • SIFMA Addresses Business Conduct Standards For Swap Dealers In Comment Letter To CFTC

    Date 18/02/2011

    SIFMA today submitted a comment letter to the Commodity Futures Trading Commission (CFTC) regarding its proposed rule on business conduct standards for swap dealers and major swap participants (MSPs). In its letter, SIFMA expressed concerns about various aspects of the CFTC’s proposal, including unintended adverse consequences for customers of swap dealers, and instances where the CFTC has gone beyond the mandates of the underlying legislation.

  • SEC: Sean McKessy Named Head Of Whistleblower Office

    Date 18/02/2011

    The Securities and Exchange Commission today announced that Sean McKessy will oversee the new Whistleblower Office in the Division of Enforcement. The Office will consolidate existing resources to administer the whistleblower provisions called for by The Dodd-Frank Wall Street Reform and Consumer Protection Act.

  • Opening Statement, Meeting Of The: Joint Advisory Committee On Emerging Regulatory Issues - CFTC Chairman Gary Gensler

    Date 18/02/2011

    Good morning. I am pleased to join Chairman Schapiro in welcoming the members of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to our fifth public meeting. This is the third time this week that Chairman Schapiro and I have shared a table. I had the honor of testifying alongside Chairman Schapiro before Congressional committees in both the House and Senate on implementation of the Dodd-Frank Act. We also are focused on strengthening our markets to prevent similar events as those that occurred on May 6 of last year.

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