Click here to access a report analyzing the role played by the Financial Industry Regulatory Authority, Inc. (“FINRA”) in causing the global financial crisis. The report examines moral hazard issues inherent in FINRA’s structure that will allow future crises to occur unless Congress intercedes. The report use factual analysis of the actions of leaders of the Securities and Exchange Commission and FINRA to explempify their deficiencies and what needs to be done to protect people.
FINRA and the Financial Crisis
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SEC Reports
- Alliance for Economic Stability Investigates SEC Chairman’s Violations of President Obama’s Executive Order on Ethics.
- Mary Schapiro’s Conflicts of Interest and Multi-Million-Dollar Annual Compensation for Regulatory Work.
- SEC Chairman Mary Schapiro’s Questionable Conduct
- Schapiro’s Testimony on Lehman Accounting Trick Omits Mention of FINRA's Central Role
- Alliance for Economic Stability Urges Financial Crisis Inquiry Commission to Investigate FINRA.