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
IEX exchange bid should be judged on its own merits - FINRA chief - Yahoo! News, 6 days ago
INTERVIEW-IEX exchange bid should be judged on its own merits -FINRA chief - Reuters UK, 6 days ago
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 Review, 4 days ago FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering Yahoo! Finance, 5 days ago FINRA's First Report Cards on Spoofing and Layering 24/7 Wall St, 5 days ago FINRA issues report cards covering spoofing and layering Investment Executive, 5 days ago
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 Review, 4 days ago
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 Traders, 4 days ago New FINRA requirement for algorithmic traders Hedge Fund Journal, 6 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.com, 6 days ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a... Equities.com, 1 week ago
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 Monitor, 6 days ago Uganda: Insurance Industry Records 22 Percent Growth AllAfrica.com, 4 days ago NCC Issues New Draft Regulatory Framework for Value Added Services Equities.com, 4 days ago Regulations for commission of insurance workers likely in March Business Today India, 5 days ago
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, ...InTheBlack, 5 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 Review, 1 week ago Regulatory Compliance Expert Certrec Hosts NERC Compliance Workshop in Fort Worth Equities.com, 6 days ago
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 Services, 6 days ago
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 Adviser, 1 week ago
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 Etc, 4 days ago
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