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FINRA issues guidance on best execution obligations in equity, options and fixed income markets

USA - December 4 2015 In light of the increasing use of automated markets for equity securities and standardized options, and recent advances in trading technology and…

Dina Wegh, James D. Van De Graaff, Janet M. Angstadt.

CFTC staff issues no-action letters relating to swap execution facilities

USA - October 4 2013 Commodity Futures Trading Commission staff released several no-action letters impacting swap execution facilities (SEFs) and their participants…

FINRA's new consolidated supervision rules: a roadmap to compliance

USA - November 11 2014 The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities…

James D. Van De Graaff, Janet M. Angstadt, Michael T. Foley.

FINRA proposes changes to know your customer and suitability rules

USA - August 27 2010 On August 13, the Securities and Exchange Commission published a notice that the Financial Industry Regulatory Authority proposes to adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) as part of the Consolidated FINRA Rulebook.

James D. Van De Graaff, Janet M. Angstadt.

Proposed amendments to SEC rule 15b9-1 would require most proprietary trading broker-dealers to become FINRA members

USA - April 20 2015 Consistent with the increased regulatory scrutiny of Proprietary Trading firms-and high frequency trading firms in particular—the Securities and…

James D. Van De Graaff, Janet M. Angstadt, Michael T. Foley.