IOSCO Financial Industry Regulatory Authority

News & Analysis as of

Bridging the Week - May 2015 #2

Two Traders Subject of CME Summary Suspension for Alleged Spoofing Sued by CFTC Too - Last week, the Commodity Futures Trading Commission commenced a lawsuit in federal court in New York against Heet Khara and Nasim...more

The Financial Report - Volume 4, No. 7 • April 2015 (Global)

Discussion and Analysis - Last week, the Securities and Exchange Commission proposed to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, which exempts certain broker-dealers from membership in a...more

Bridging the Week - December 2014

CFTC Issues CME Group Report Card: Scores Generally Good But NYMEX and COMEX Directed to Continue to Enhance Spoofing Surveillance - The Chicago Mercantile Exchange Group found early presents under its Christmas tree...more

Orrick's Financial Industry Week in Review

Bank of America and Merrill Lynch Settle RMBS Lawsuit with FDIC - On November 17, Bank of America and Merrill Lynch settled securities claims brought by the FDIC related to RMBS sold to United Western Bank. The FDIC,...more

Corporate and Financial Weekly Digest - Volume IX, Issue 42

In this issue: - Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits - FINRA Remarks at the National Society of Compliance Professionals...more

Structured Thoughts: News for the financial services community, Volume 5, Issue 1 -- January 7, 2014

In This Issue: “Structured Products, Meet the Volcker Rule”: The New Limitations on Proprietary Trading; SEC and FINRA Personnel Speak at Structured Products Conference; FINRA’s Annual Regulatory and Examination...more

The Financial Report - Volume 2, No. 18 • October 10, 2013 (Global)

IN THIS ISSUE: - Discussion and Analysis - News from the Americas - News from Asia and the Pacific - News from Europe - Global Regulators - US Securities and Exchange Commission Developments - US Commodity...more

Structured Thoughts -- Volume 4, Issue 11 -- August 12, 2013

In This Issue: Complex Products and Conducting a Reasonable Basis Suitability Review; Guidelines for Presenting Backtested Performance Data; IOSCO Final Report on Principles for Financial Benchmarks; Protect Your...more

Structured Thoughts -- Volume 4, Issue 10 -- July 9, 2013

In This Issue: - Chasing Return, Reprise - IOSCO: Uniform Regulation and More Transparency for ETFs - FINRA Removes Proposal to Require Supervision of Non-Securities Business - In Case You Missed It -...more

Structured Thoughts -- Volume 4, Issue 3 -- February 6, 2013

In This Issue: Reverse Inquiry Transactions in the Spotlight; How Will the Fed’s Proposed Foreign Bank Rules Affect Foreign Bank Debt Financing Activities in the U.S.?; IOSCO Commences Consultation on Benchmarks; and...more

Structured Thoughts -- Volume 4, Issue 2 -- January 24, 2013: IOSCO Publishes Suitability Requirements for Distribution of Complex...

On January 21, 2013, the International Organization of Securities Commissions (IOSCO), of which the Financial Industry Regulatory Authority, Inc. is an affiliate member, published its final report on Suitability Requirements...more

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