Results 11 to 15 of 158
Most popular |Most recent

FINRA Proposes To Require Members To Report Transactions in US Treasury Securities to TRACE

USA - July 22 2016 On July 19, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to amend its Trade…

Timothy D. Kertland.

CFTC Approves Clear Markets North America, Inc. as a Registered Swap Execution Facility

USA - July 8 2016 On June 27, the Commodity Futures Trading Commission issued an Order of Registration (Order) approving Clear Markets North America, Inc. as a fully…

Stanley V. Polit.

SEC Announces Self-Reporting Initiative for Broker-Dealers Who Have Failed To Comply With Its Customer Protection Rule

USA - June 24 2016 The Securities and Exchange Commission has announced the Customer Protection Rule Initiative (Initiative), under which broker-dealers that have…

Timothy D. Kertland.

SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump"

USA - June 23 2016 As has been widely reported, the application of Investors' Exchange, LLC (IEX) to register with the Securities and Exchange Commission (SEC) as a…

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

SEC Approves Revised FINRA Margin Requirements Rule

USA - June 17 2016 On June 15, the Securities and Exchange Commission approved on an accelerated basis proposed amendments to FINRA Rule 4210 to establish margin…

Stanley V. Polit.