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About 851 results for "financial industry regulatory authority"

FSB and Abu Dhabi authority form new partnership
Biz Community

Call for more scrutiny of regulators

Financial services providers are becoming ever more familiar with the Financial Markets Authority in its industry oversight role but who is keeping an eye on the regulators? Geof Mortlock is a New Zealand financial sector regulation specialist, who ... Good Returns, 1 week ago
FSB and Abu Dhabi authority form new partnership Biz Community, 2 weeks ago
ADGM, S.African board form partnership The Gulf Today, 2 weeks ago
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298 images for financial industry regulatory authority

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Federal Register

SR-FINRA-2016-033

Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration Financial Industry Regulatory Authority, Inc. (FINRA) is filing with the Securities and Exchange Commission (SEC or Commission) a proposed rule change to amend ...
 FINRA1 week ago Self-Regulatory Organizations; Investors Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan  Federal Register2 weeks ago Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Inves  Federal Register3 weeks ago Global Digital Solutions, Inc. et al  SEC Filings1 week ago

GRD PACARAIMA GOLD : First Bitcoin CapitalCorp. FINRA approved Name Change is effective as of today

/ FIRST BITCOIN CAPITAL CORP. (OTC markets: BITCF), announced today that FINRA (Financial Industry Regulatory Authority) has approved its name change to FIRST BITCOIN CAPITAL CORP from Grand Pacaraima Gold Corp. The change will be reflected at the ...
 4 Traders1 week ago First Bitcoin CapitalCorp. FINRA approved Name Change is effective as of today  Yahoo! Finance1 week ago
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Federal Register

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY IN : Joshua Hershman, Trumid Financial LLC

Mr. Joshua Hershman Chief Operating Officer Trumid Financial LLC 120 Broadway, 9 Floor New York, NY 10271 Re: Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System Dear Mr.
 4 Traders2 weeks ago Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update or Adopt Various Fees for Services Provided by the Financial Industry Regulatory Authority  Federal Register1 week ago Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600  Federal Register1 week ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility  Federal Register3 weeks ago

FCA considers new regulatory controls on buy-to-let sector

The Financial Conduct Authority (FCA) looks set to introduce a series of new regulatory controls that will have a significant impact on the UK's buy-to-let lending sector. Sky News reports that the FCA is currently devising plans to tighten the ...
 Compliancy Services1 week ago Insurance regulator planning new guidelines :  East African Business Week1 week ago The Insurance Regulatory and Development Authority of India has proposed to make it mandatory for all general insurers to list on the bourses after completing eight years of operations and for life insurers to go public when they complete 10 years. Insure  VC Circle1 week ago Uganda: Insurance Regulator Planning New Guidelines  Eabizinfo.com1 week ago

CIO Monica Eaton-Cardone Evaluates Challenges and Benefits of Financial Industry Regulatory Compliance

Financial industry regulations have long been a key concern for financial services CEOs, with nearly 90% citing over-regulation as the biggest threat to their growth prospects.(1, 2) Many believe the recent growth of financial technology (FinTech) ...
 BioSpace3 weeks ago
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CUNA, state leagues call CFPB rejection of exemption authority troubling

WASHINGTON, DC (August 10, 2016) — The Consumer Financial Protection Bureau's rejection of a bipartisan call for regulatory relief is troubling and the bureau is strongly encouraged to reconsider, wrote CUNA and all 38 state credit union leagues ...
 Credit Union Insight2 weeks ago

Sacco board members to take financial literacy tests in proposed law

Sacco board members will be required to take continuous professional tests by the industry regulator who is pushing to improve corporate governance in the Sh300 billion sector. FILE Sacco board members will be required to take continuous ...
 Business Daily Africa2 weeks ago

Nigeria's Insurance Industry Prepares For Risk-based Supervision Implementation

Experts have offered insight into what will become of the insurance industry when the regulatory authority, the National Insurance Commission (NAICOM) begins implementation of the long awaited Risk Based Supervision (RBS), Chika Izuora writes ...
 Leadership2 weeks ago

NBFIRA reports slow compliance to new regulatory requirements

The Non Banking Financial Institutions Regulatory Authority (NBFIRA) said Thursday that it is concerned by slow reaction to new regulatory requirements by industry players. Speaking at the Stanbic Bank Non Banking Financial Institutions (NBFI) ...
 Sunday Standard Botswana2 weeks ago
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