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Feature Articles
Longer reads on technology, regulation and company announcements.
684 stories since 2017 · page 17 of 35
August 2020
July 2020
The Proverbial Sausage was Being Made by the Securities and Exchange Commission
The proverbial sausage was being made by the SEC last week. The SEC held one of its open meetings in which it considered two rules to do with proxy voting.
Reflecting on Dodd/Frank after Ten Year Anniversary
Two people intimately involved in helping to craft the legislation, say that Dodd/Frank has functioned well.
Two individuals Heard their Nominations for Securities and Exchange Commission
The Senate Banking Committee considered the nominations of two individuals for the Securities and Exchange Commission (SEC) chairs in the US Senate.
Productivity Remains for Broker/Dealers Working From Home
Broker/dealers in the US say they are maintaining high productivity despite coronavirus forcing everyone to work from home recorded by FINRA.
House Financial Services Introduces Trading Related Bills
The House Financial Services Committee ( HFSC ) is considering several trading related bills which included behaviour related to public limited companies.
Report Finds Investors Like Having an Advisorwww
Individual investors in the US are largely using a financial advisor for their investment portfolio, according to new SIFMA research.
Finance Leading in COVID Recovery
In thes times of crisis, with governments around the world and UK too are looking to the finance sector for those solutions as well.
Reg BI Implementation Going Well Despite COVID
Reg BI Implementation Going Well Despite COVID. American broker/dealers have done an admirable job implementing the new Regulation best interest.
Senate Debates Central Bank Digital Currency
The former head of the Commodity Futures Trading Commission (CFTC) was back on Capitol Hill, this time speaking about digital currency.
June 2020
Financial Exploitation of Seniors Rising
Chris Kelly is deputy head of FINRA and Sales Practice Enforcement and spoke about the spike in cases involving exploitation of senior investors.
The Securities and Exchange Commission appears like it will need a new head
Jay Clayton, the current head of the SEC, has been nominated to be the US Attorney for the Southern District of New York.
Tensions may be Easing in the Cross-Continent Standoff over Swap Central Counterparties
Over the last two-plus years, Europe and the US have been at loggerheads over a swap proposal by the European Securities and Markets Association.