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About 844 results for "financial industry regulatory authority"

Self-Regulatory Organizations; Financial Industry Regulatory A...

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc. ; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments ... HispanicBusiness.com, 20 hours ago
FINRA proposes new market surveillance system Investment Executive, 1 day ago
Regulation overkill won't prevent another crisis Banking Technology, 1 day ago
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141 images for financial industry regulatory authority

CNBC, 1 month ago
Antigua Observer, 2 weeks ago
Find Law, 3 months ago
This is Money, 3 months ago
Asset Servicing Times, 1 month ago
Forex Magnates, 1 month ago
Reuters, 3 months ago
HedgeCo, 1 month ago
Colorado Springs Gazette, 11 hours ago
CNBC, 4 months ago

SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors

) - The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the first Compliance Outreach Program for Municipal ...
 4 Traders20 hours ago
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Self-Regulatory Organizations File CAT NMS Plan with the SEC

WASHINGTON, Sept. 30, 2014 /PRNewswire/ -- The US national securities exchanges and the Financial Industry Regulatory Authority, Inc. (FINRA), collectively, the self-regulatory organizations, or SROs, today filed with the Securities and Exchange ...
 4 Traders1 day ago U.S. regulators, exchanges file audit trail plan  Investment Executive20 hours ago
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FINRA Board approves several rulemaking items including proposed rule changes regarding algorithmic trading and enhanced transparency for OTC transactions

The Financial Industry Regulatory Authority, Inc. announced on September 19 that the FINRA Board of Governors (Board) approved several new rule initiatives. Among the initiatives, FINRA will seek comment from members on a rule proposal that would ...
 Lexology1 day ago

FINRA Solicits Comment on Proposed Rule to Implement CARDS

[September 30, 2014] WASHINGTON --(Business Wire)-- The Financial Industry Regulatory Authority (FINRA) today issued Regulatory Notice 14-37 requesting comment on a proposed rule to implement the Comprehensive Automated Risk Data System ...
 TMC Net1 day ago Finra Floats Controversial Cards Rule Proposal  Financial Advisor Magazine1 day ago FINRA Releases New Version of Controversial CARDS Plan  AdvisorOne1 day ago

Wall Street watchdog to pick insider as arbitration head: Source

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. The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two ...
 Economic Times2 weeks ago

SCA urges proactive role for financial regulators [Khaleej Times, Dubai, United Arab Emirates :: ]

Oct. 02--UAE initiative seeks to enhance IOSCO's role on the ground The Securities and Commodities Authority participated in the Growth and Emerging Markets Committee meeting which discussed financing for small and medium enterprises. -- Supplied ...
 BusinessWeek1 hour ago

FSB Supports Longer FX Fix

A panel of global regulators, responding to a manipulation scandal that's shaken the financial industry, backed measures to make it harder for traders to exploit key benchmarks in the US$5.3 trillion-a-day currency market. The Financial Stability ...
 Treasury & Risk Management14 hours ago

Our Dysfunctional Financial System

Tapes of what really happens between bankers and regulators show how far we have to go In some ways, the most shocking thing about the 46 hours of secret audiotapes made by former Federal Reserve bank examiner Carmen Segarra in 2012 is that they ...
 Time9 minutes ago

Annual Financial Report

Regulatory Story - SJG Released 07:00 02-Oct-2014 RNS Number : 2214T 02 October 2014  2 October 2014 ANNUAL REPORT AND ACCOUNTS Schroder Japan Growth Fund plc (the "Company") hereby submits its annual financial report for the year ended 31 July ...
 London Stock Exchange4 hours ago Pantheon Intl Part. Annual Financial Report  ADVFN UK5 hours ago PANTHEON PARTICIPATIONS : Annual Financial Report  4 Traders5 hours ago LAKES OIL : Financial Report For The Year Ended 30 June 2014  4 Traders20 hours ago
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