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About 841 results for "financial industry regulatory authority"

FINRA to discuss potential new rules on dark pools

The Financial Industry Regulatory Authority (FINRA) announced on Wednesday that it intends to discuss potential rule-making initiatives that would seek to increase the transparency of Alternative Trading Systems, including dark pool trading among ... Lexology, 27 minutes ago

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CNBC, 4 weeks ago
Antigua Observer, 2 days ago
This is Money, 2 months ago
Asset Servicing Times, 2 weeks ago
Forex Magnates, 2 weeks ago
HedgeCo, 3 weeks ago
RIABiz, 1 month ago
National Real Estate Investor, 1 month ago
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Inhabitat, 4 hours ago

Wall Street Watchdog To Pick Insider As Arbitration Head

(Reuters) - The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter. FINRA, Wall Street's industry-funded ...
 Austin American Statesman3 days ago Insider to be picked as arbitration head  Industrial Info Financials3 days ago Exclusive : Wall Street Watchdog To Pick Insider As Arbitration Head - Source  The US Daily4 days ago Exclusive: Wall Street watchdog to pick insider as arbitration head - source  Town Hall3 days ago

FINRA Mulls Revised Broker Bonus Plan

The Financial Industry Regulatory Authority plans to consider at its Sept. 19 board meeting a revised recruitment practices proposal that looks to omit the controversial retention deal aspect of the original plan. FINRA will consider a new plan ...
 AdvisorOne3 days ago

FCA to outline post-MMR regulatory future at FSE London

The Financial Conduct Authority (FCA) will be outlining the post-MMR regulatory future for the mortgage and loan industry, as well as reviewing the latest phase of the European Mortgage Credit Directive, at this year's Financial Services Expo (FSE) ... days ago

Lombard Risk Management : REPORTER XBRL regulatory submissions for FCA's new (V2.1) taxonomy

Financial Conduct Authority (FCA) - GABRIEL (Gathering Better Regulatory Information Electronically): online regulatory reporting system for collection, validation and storage of regulatory data Lombard Risk Management plc (LSE:LRM), a leading ...
 4 Traders22 hours ago Financial Regulatory Developments 12 September - Financial Conduct Authority (FCA)  Lexology3 days ago Financial Conduct Authority provides guidance on its approach to attestations for FCA authorized firms  Lexology1 week ago

Bank Regulatory Authority Joe Lynyak Joins Dorsey

Bank regulatory authority Joe Lynyak joins Dorsey as a partner in the Firm's Finance & Restructuring Group. (Photo: Dorsey & Whitney LLP) Mr. Lynyak possesses a broad knowledge base regarding foreign and domestic banks, savings ...
 Morningstar.com1 week ago

Australia spearheads the Asia-Pacific FX industry's global alignment as first trade depository becomes authorised

Hot on the heels of North America and Europe, Australia's regulatory authority follows suit by issuing trade repository authorization to Singaporean DTCC For the first time ever, the world's financial markets were faced with the necessity of ...
 LeapRate21 hours ago

Insurers unite to attack aggregator phenomenon

Leading insurers joined forces to praise the Financial Services Authority (FSA) and criticise the impact of aggregators at Future of General Insurance Conference. Chief executive officer at Axa, Phillippe Maso, said he was genuinely surprised by ...
 Insurance Age1 day ago

Financial services update September 8 2014 exchanges and self-regulatory organizations

BATS Exchange Price Sliding Functionality Proposed On August 28th, the SEC provided notice of BATS Exchange's filing of a proposed amendment to add certain price sliding functionality to the Exchange's cash equities trading platform. The Exchange ...
 Lexology6 days ago The financial report September 4, 2014 - US exchanges and self-regulatory organizations  Lexology1 week ago

As Oklahoma wind industry matures, some call for greater regulation [The Oklahoman, Oklahoma City :: ]

Sept. 12--After more than a decade of rapid growth in Oklahoma, the wind industry is like a teenager that might need some guidance as its developments grow closer to populated areas and conflicts arise. That was among the opinions offered Thursday ...
 BusinessWeek4 days ago
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