Feature Articles Archives - Page 11 of 32 - The Industry Spread

AOC Speaks Against Force Arbitration

April 8, 2019

Arbitration became a hot button issue in the trading world in January 2018 when Bloomberg published an anonymously sourced article which suggested that the SEC implementing forced arbitration on shareholders.

Trump Nominates New SEC Commissioner

April 5, 2019

President Donald Trump announced the nomination of a new SEC Commissioner in Allison Herrin Lee whose a veteran securities law practitioner.

Institutions Dominate Proxy Process

April 5, 2019

The proxy process for publicly traded companies has been taken over by institutional investors at the detriment of retail traders and investors.

FinTech Leading Females Comment The Rise of BigTech and Gender Diversity

March 29, 2019

With new opportunities emerging in Fintech, Some work needs to be done to attract more female involvement. Over the next five years, the power of blockchain, combined with a rapid growth rate of women entering technology-related fields, will help in expanding female representation on boards

FINRA Budget is Released

March 25, 2019

FINRA says it could draw on its reserves to make up for a projected revenue shortfall but Critics worry it might send mixed messages about dependence on fines.

How FINRA Interacts with its Members

March 23, 2019

As a self-regulatory organization FINRA, the Financial Industry Regulatory Authority, is in a unique position to interact with its members. That was the message from Chip Jones, FINRA’s Senior Vice President of Member Relations and Education who was the latest guest on FINRA’s podcast, Unscripted.

CFTC Nominee Reaffirms SWAPs Stance

March 14, 2019

CFTC Chairperson Christopher Giancarlo’s term will expire in April this year and President Trump has Dr. Tarbert to replace him. Dr. Tarbert stated. “Again, I go to the very point that you raised, that it’s very important that the United States have the jurisdiction and sovereignty to regulate its own markets.”

FINRA to Upgrade Registration System

March 12, 2019

The transformation aims to increase the utility and efficiency of the registration and disclosure process for firms, investors and regulators, as well as to reduce compliance costs for firms. FINRA’s Board of Governors has approved moving forward with the project, which FINRA expects to complete in 2021

Will This Case Limit CFTC’s Manipulation Power

March 8, 2019

The Commodities Futures Trading Commission’s (CFTC) power to prosecute market manipulation may be determined by a case making its way through federal court.

The Futures Industry Association (FIA) held its most recent webinar entitled “CEA (Commodities Exchange Act) Manipulation Law.”