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Hugh Kennedy

Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
Atkins swearing in leaves one more Commission slot to be filled
Letter details five rulemaking priorities that would benefit "the 120 million Americans who use investment funds"
It has been more than 30 years since the SEC last reviewed the Investment Company Act regulatory framework
Time is needed to complete a Commission review of the amendments in accordance with a Presidential Memorandum
FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks
Chair has asked Commission staff to evaluate whether the current AUM split between the SEC and the states reamains optimal
IG concludes that additional oversight and monitoring of the SEC's CAT usage is needed
SRO review aimed at better supporting innovative approaches in conducting business
Capital formation and the "modern workplace" are the two initial areas of focus of broad FINRA review of rules
FINRA's Securities Helpline for Seniors has aided in recovering more than $9.3 million for investors
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