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Systemic risk / Financial markets / Bonds / Securities / Securities Industry and Financial Markets Association / Dodd–Frank Wall Street Reform and Consumer Protection Act / Volcker Rule / Operational risk / Dain Rauscher Wessels / Financial economics / Finance / Investment


SIFMA Executive Vice President Randy Snook Remarks as Prepared for SIFMA Operations Conference & Exhibit 2014
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Document Date: 2014-04-29 10:10:08

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File Size: 83,22 KB

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Company

Booz Allen Hamilton / Davidson Companies / Dorsey / Dain Rauscher Inc. / D.A. Davidson & Co. / Rauscher / Pierce & Refsnes Inc. / Dorsey & Whitney LLP / SIFMA / /

Country

United States / /

Facility

Consolidated Audit Trail / /

IndustryTerm

financial services / retail customer brokerage accounts / added technology costs / backup systems / /

Organization

FINRA / /

Person

Randy Snook / Bill Johnstone / Mike McConnell / /

Position

managing partner / attorney / vice president of business policies and practices / executive vice president of business policies / Vice Chairman / President / first speaker / opening speaker / president and CEO / Executive Vice President / Business Policies / Vice President / Business Policies & Practices Good morning / president and chief executive officer / /

Technology

simulation / CAT / /

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