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  • Remarks By Deputy U.S. Treasury Secretary Neal S. Wolin

    Date 19/04/2011

    Last summer, the President signed into law a comprehensive set of reforms to the financial system.

  • Dow Jones Indexes Comments On Gold Price Movement

    Date 19/04/2011

    In response to today’s activity in the gold market,  David Krein, Dow Jones Indexes’ Senior Director, Product Development & Analytics said “What we’re seeing today with gold is clearly a reaction to yesterday’s credit agency warning that the US must figure out a way to control its deficit.   The jump in the price of gold past the $1,500/oz mark is further evidence of the metal’s ‘safe haven’ status as the testy US political environment continues to raise doubts about the country’s ability to resolve its near- and long-term budgetary issues.” 

  • FINRA Suspends Pinnacle Partners And Its President Brian Alfaro

    Date 19/04/2011

    The Financial Industry Regulatory Authority (FINRA) announced today that it has suspended indefinitely Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. Alfaro, for failure to comply with a FINRA Temporary Cease and Desist Order prohibiting their fraudulent misrepresentations. The suspension resulted from FINRA's Notice of Suspension that alleged that Pinnacle and Alfaro had continued to make fraudulent oral and written misrepresentations and omissions in connection with their offer and sale of certain oil and gas joint interests, and had otherwise failed to comply with the terms of the Temporary Order FINRA issued on January 21, 2011.

  • SIFMA’s Ryan Response To Deputy Treasury Secretary Wolin’s Remarks On Dodd-Frank Implementation

    Date 19/04/2011

    SIFMA today released the following statement by President and CEO Tim Ryan in response to Deputy Treasury Secretary Neal Wolin’s remarks at the Pew Charitable Trusts on implementation of the Dodd-Frank Act.

  • SEC Seeks Public Comment On Effective Investor Education Programs

    Date 19/04/2011

    The Securities and Exchange Commission today published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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