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About 844 results for "financial industry regulatory authority"

Wall Street watchdog has unfinished business with bad brokers

6 minutes ago CEO of the Financial Industry Regulatory Authority Richard Ketchum speaks during the Global Wealth Management Summit in New York June 16, 2014. Yahoo! Finance, 6 days ago
Forex Magnates

FINRA Permits ATSs to Apply for Exemptions From TRACE Reporting

The Financial Industry Regulatory Authority has adopted new Rule 6732, which allows an alternative trading system (ATS) to apply for an exemption from the Trade Reporting and Compliance Engine (TRACE) trade reporting obligations under Rule 6730.
 National Law Review4 days ago FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering  Yahoo! Finance5 days ago FINRA's First Report Cards on Spoofing and Layering  24/7 Wall St5 days ago FINRA issues report cards covering spoofing and layering  Investment Executive5 days ago

FINRA to Publish ATS Block-Size Trade Data

On October 3, the Financial Industry Regulatory Authority will begin publishing monthly statistics on block-size trades occurring on alternative trading systems (ATSs). The statistics regarding ATS block-size trades will be aggregated across all ...
 National Law Review4 days ago
Federal Register

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY IN : How Confident Are You About Retiring Comfortably?

Chances are, you're more confident about your prospects for a comfortable retirement today than you were between 2009 and 2013, when retirement confidence was in the doldrums. According to the recently released Retirement Confidence Survey , ...
 4 Traders4 days ago New FINRA requirement for algorithmic traders  Hedge Fund Journal6 days ago Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To...  Equities.com6 days ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a...  Equities.com1 week ago
Uganda Daily Monitor

Insurance industry records 22% growth

KAMPALA. Uganda's insurance industry has grown by 21.58 per cent in the last financial year according to the Insurance Regulatory Authority (IRA). The growth from 9 per cent in 2014 to 21.58 per cent in 2015 is attributed to uptake of large ...
 Uganda Daily Monitor6 days ago Uganda: Insurance Industry Records 22 Percent Growth  AllAfrica.com4 days ago NCC Issues New Draft Regulatory Framework for Value Added Services  Equities.com4 days ago Regulations for commission of insurance workers likely in March  Business Today India5 days ago

The big banking fix Australia's regulators want

Australia's financial regulators are united in their call to work more collaboratively with government and industry to meet shared goals. Fostering a culture that supports collaborative regulation will reduce the need for government intervention, ...
 InTheBlack5 days ago


The financial services industry is required to comply with a vast array of complex national and international regulatory requirements. While these regulations aim to maintain the integrity and security of the financial system, it's often been the ...
 Global Banking & Finance Review1 week ago Regulatory Compliance Expert Certrec Hosts NERC Compliance Workshop in Fort Worth  Equities.com6 days ago
Compliancy Services

Finance industry calls for more regulation for fintech

The introduction of financial technology (fintech) in recent years has been readily welcomed by the UK financial industry, but it is now calling for more regulation in this area. Firms have made moves to embrace the recent increase in artificial ...
 Compliancy Services6 days ago
International Adviser

UAE regulator SCA extends scope to cover financial...

The change to the Financial Consultation and Financial Analysis licence follows a consultation with the industry last year , and is one of a series of amendments, which also include a code of conduct for employees, made to the regulations earlier ...
 International Adviser1 week ago

Royal Bank of Scotland Group Stock Dips As Losses Double

Earnings season for the banking industry kicked off this month with banks reporting their financial results for the first quarter ending March 31. Big US banks started the season revealing headwinds in the first quarter. While majority of the banks ...
 Bidness Etc4 days ago
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