FINRA Creates COVID Task Force
FINRA has formed a task force for COVID related crimes. Greg Ruppert is the new head of the National Cause and Financial Crimes Detection Programs.
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Feature Articles
Longer reads on technology, regulation and company announcements.
684 stories since 2017 · page 18 of 35
June 2020
Is Impact Investing Code for Globalist Social Justice
Is impact investing an Orwellian attempt to bring a globalist social justice agenda to the markets?
FINRA Explains Gateway Transition
FINRA hopes upgrades in its compliance portal will leverage technology.
May 2020
CFTC Enforcement Head Talks Dodd/Frank and Transparency
The head of enforcement at the Commodities Futures Trading Commission (CFTC) said Dodd/Frank ushered in a new era for enforcement.
Tarbert Talks Coronavirus
The head of the Commodities Futures Trading Commission (CFTC) described how his agency tackled coronavirus.
The Head of Enforcement at FINRA was the Latest Guest on its Podcast
FINRA is the Financial Industry Regulator Authority, and it is the self-regulatory organization over the securities industry in the US.
Coronavirus has put a Unique Shock Onto Financial Markets
Coronavirus has put a unique shock on financial markets, but they were on solid footing to manage the shock. Quarles gives advice to financial institutions.
Coronavirus Significantly Upended the Agenda for the Global Organization of Securities Regulators
IOSCO is an organization of global securities regulators like the (SEC) and the (CFTC) in the US and the Financial Conduct Authority in England.
Markets Adjust to Coronavirus Volatility
And prior to this March, the circuit breakers had been activated once in October of 1997.
April 2020
Bitcoin Halving Approaching
May 13 will be an important day for Bitcoin. That’s when it will be “halved”. Halving refers to the reduction in the amount of Bitcoin paid out for miners.
FINRA Recently Featured the Senior Helpline on its Podcast, Unscripted
A securities helpline for seniors recently celebrated its fifth-year anniversary. FINRA recently featured the senior helpline on its podcast, Unscripted.
New Airline Ticket Derivatives Being Developed
Coronavirus has led to the creation of a new derivative product: airline tickets.
US Dominates Global Fixed Income Market
SIFMA put out a report and found that the US has almost 40% of all global fixed income, and it is 1.9 times bigger than its next biggest competitor.
FINRA Adjusts to Coronavirus
Though it’s an unprecedented moment in market history, FINRA, the Financial Industry Regulatory Authority, is managing to keep as much normalcy as possible.