CFTC Proposal Poses “Monumental” Challenge to FCMs
Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more
OSC to hold derivatives reporting seminar.
The Ontario Securities Commission announced that it will hold a seminar on January 15, 2014, on the reporting requirements under the new Derivatives Trade Repositories and...more
In This Issue:
Leading the Past Week; Legislative Branch; and Executive Branch.
Excerpt from Leading the Past Week -
The past week could be best described by one word. Chaos. In the House, a scheduled...more
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