BROKER-DEALER -
FINRA Publishes 2021 Industry Spotlight -
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual...more
BROKER-DEALER -
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act -
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
3/29/2021
/ Bank of England ,
Coronavirus/COVID-19 ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
NFA ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Whistleblowers
BROKER-DEALER -
FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines -
On May 21, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-19 (Notice), which reminds...more
5/28/2019
/ Broker-Dealer ,
CFTC ,
Cross-Border Transactions ,
Derivatives ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
IOSCO ,
NFA ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
UK