- Lobbying
- financial AND industry AND regulatory AND authority AND finra
Lobbying Arrangements Results for 'Financial Industry Regulatory Authority Finra'
Former Covered Federal Workers:
Other Lobbyists:
Issue | Client | Firm | Lobbyists | Start Date | Latest Filing Date |
---|---|---|---|---|---|
Details Regulation of broker-dealers, securities industry and markets; investor education. |
Financial Industry Regulatory Authority (FINRA)
Regulation of securities firms doing business in the United States. |
DAVIS & HARMAN LLP | |||
Details Regulation of broker-dealers, securities industry and markets. |
Financial Industry Regulatory Authority (FINRA)
|
D.C. Policy Group, LLC | |||
Details Regulation of securities industry and markets |
FINRA, Financial Industry Regulatory Authority
|
BAKER & HOSTETLER LLP | |||
Details Financial Industry Regulatory Authority (FINRA) proposed rule to implement Comprehensive Automated Risk Data System (CARDS) |
STEPHENS INVESTMENTS HOLDINGS LLC
|
Palmetto Group | |||
Details Issues related to financial services |
Financial Industry Regulatory Authority ("FINRA", formerly NASD)
|
DALY CONSULTING GROUP | |||
Details Regulation of broker-dealers, securities industry and markets, data security, social media, privacy, including investor protection and education and diversity and inclusion. |
Financial Industry Regulatory Authority
|
in-house lobbying | |||
Details Regulation of broker-dealers. Customer recovery across arbitration and other dispute resolution forums. |
Financial Industry Regulatory Authority ("FINRA", formerly NASD)
|
Rich Feuer Anderson | |||
Details Regulation of broker-dealers. |
Financial Industry Regulatory Authority ("FINRA", formerly NASD)
|
Rich Feuer Anderson | |||
Details Issues related to the regulation of broker-dealers, securities industry, and markets. |
Financial Industry Regulatory Authority ("FINRA")
|
FULCRUM PUBLIC AFFAIRS LLC | |||
Details RIN 3235-AN07 - Private Fund Advisers RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers RIN 3235-A... |
Alternative Investment Management Association
|
in-house lobbying |