Free Presentation Open to the Community about Capital Market Oversight

HARRISBURG, Pa. - Oct. 31, 2014 - PRLog -- Industry practices by investment banks and regulation of these markets will be the focus of a free lecture open to the community from noon to 1 p.m., November 6th at Harrisburg University of Science and Technology.

Joseph E. Price, Senior Vice President of Corporate Financing/Advertising Regulation at the Financial Industry Regulatory Authority, will address industry practices by investment banks and other broker/dealers that raise capital for businesses in primary markets, where new stock and bond issues are sold to investors, and secondary markets, which trade existing securities.

In the presentation, entitled Capital Market Oversight by the Financial Industry Regulatory Authority Presentation, Price also will explore FINRA's role in regulating these markets. FINRA is an independent, not-for-profit organization authorized by Congress to protect America's investors by making sure the securities industry operates fairly and honestly.

This free event is part of the DiSanto Chair Distinguished Speaker Series in Financial Literacy. Each month, Harrisburg University will host a free discussion open to the community examining financial literacy from a macro-view. The events are hosted by Dr. Jay Liebowitz, DiSanto Visiting Chair in Applied Business and Finance. The DiSanto Chair and the Financial Literacy speaker series are made possible through the generous contributions of Alex DiSanto. Each discussion will take place from Noon to 1 p.m. in the Auditorium at Harrisburg University, which is located at 326 Market Street.

The FINRA Corporate Financing Department regulates capital-raising activities of broker/dealers; including equity, debt, REIT, closed-end fund, limited partnership offerings and private placements. The FINRA Advertising Regulation Department regulates broker/dealer sales materials, mutual fund advertisements, social media and other communications with the public.

He previously worked in various capacities at the Securities and Exchange Commission. He was an Assistant General Counsel and a Special Counsel in the Office of General Counsel and he was the Deputy Chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Prior to working at the SEC, he was a litigator in the Bureau of Competition at the Federal Trade Commission. Joe also worked as a Compliance Investigator at the Coffee, Sugar & Cocoa Exchange. He was an Adjunct Professor at Georgetown University Law Center from 1994 to 2002, where he taught "Current Issues in Securities Regulation" and "Disclosure under the Federal Securities Laws." He graduated with distinction in economics from the University of Wisconsin and received his J.D. from Fordham University.

The University is located at 326 Market Street in Harrisburg. Lunch will be provided.  RSVP online at www.HarrisburgU.edu/RSVP

Accredited by the Middle States Commission on Higher Education, Harrisburg University is a private university offering bachelor-of-science and graduate degree programs in science, technology and math fields. For more information on the University's affordable demand-driven undergraduate and graduate programs, call 717.901.5146 or email, Connect@HarrisburgU.edu