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Feature Articles
Longer reads on technology, regulation and company announcements.
684 stories since 2017 · page 22 of 35
September 2019
Fintech to Disrupt Carter Era Law
Financial technology is changing the way that a Jimmy Carter era law will be applied.
FINRA’s Ambassador Talks Global Regulators
Though FINRA exclusively governs US broker/dealers, it is part of a global regulatory eco-system.
Another Regulator has hit a Wells Fargo Trading Unit
The SEC entered a cease and desist order against Thomas Muldoon, who traded municipal bonds for more than a decade at Wells Fargo.
NFA Summarizes Most Recent Board Meeting
The self-regulatory organization (SRO) for futures which is National Futures association, held its most recent board meeting in August.
August 2019
Prominent Whistleblower Worried About Proposed SEC Rules
A whistleblower from the Enron scandal is sounding the alarm of a rule proposal from the Securities and Exchange Commission (SEC).
FINRA’s Four Pillars of Corporate Values
The Financial Industry Regulatory Authority (FINRA) has hammered down its own corporate values.
London Trader Pleads Guilty in Spoofing Case
A London based precious metals trader plead guilty to spoofing charges.
NFA Bars Commodity Pool Operator
The National Futures Association (NFA) barred a commodity pool operator.
CME Head Weighs in on SWAP Regulation Standoff
CME Head Weighs in on SWAP Regulation Standoff, The head of the CME Group weighed in on the intercontinental standoff over swaps regulation.
NFA Sanctions a Wells Fargo Division
National Futures Association, futures industry SRO, cited a swap dealer division of Wells Fargo Division recently and ordered that dealer to pay $2,500,000.
FINRA Spells Out Extraordinary Cooperation
FINRA Spells Out Extraordinary Cooperation. FINRA, the Financial Industry Regulatory Authority, would like its member firms.
Leverage Ratio Examined for Derivative Trading
The Basel leverage ratio has caused banks to reduce their clearing activity for E S&P 500 E-mini futures.
Facebook’s New Digital Currency, the Libra, Continued to Draw Congressional Scrutiny
Examining Regulatory Frameworks, A good portion of the hearing was dedicated to skepticism of Facebook’s digital currency idea, the Libra.
July 2019
Minorities Use Mobile Banking at Higher Percentages than Whites in the US
Minorities Use Mobile Banking at Higher Percentages than Whites in the US, This was the second in a two part show; the first part is here.
A Precious Metals Expert Said Silver May on the Beginning of a Technical Run
Dave Morgan is an expert in precious metals who says he is, “a big-picture macroeconomist whose main job is education,” on his website, The Morgan Report.
