How FINRA Interacts with its Members
As a self-regulatory organization FINRA, the Financial Industry Regulatory Authority, is in a unique position to interact with its members.
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Feature Articles
Longer reads on technology, regulation and company announcements.
684 stories since 2017 · page 25 of 35
March 2019
CFTC Nominee Reaffirms SWAPs Stance
CFTC Chairperson Christopher Giancarlo's term will expire in April this year and President Trump has Dr. Tarbert to replace him.
FINRA to Upgrade Registration System
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
The Commodities Futures Trading Commission’s (CFTC) power to prosecute market manipulation may be determined by a case making its way through federal court.
International Women’s Day 2019: Trading Industry Celebrates Women
On the occassion of International Women's Day , We celebrate Trading and investments doen by the women by their knowledge and instincts.
FINRA Touts Self-Reporting Initiative
Counsel experienced in regulatory law eg. FINRA, could help preserve confidentiality of your investigation and assist in analyzing issues associated with it.
February 2019
CFTC Announces Charges Against Another Precious Metals Dealer
In 2015, CFTC Charged Hannes Tulving, Jr.
Crypto MidWeek Buzz: Markets, Morgan both reverse course on crypto
As a money-center bank, once a critic, embraces blockchain, crypto prices and volumes rise worldwide and shift closes its operations.
Arbitration may Still be Coming to Shareholders Unhappy with the Publicly Traded Company Stock They own
William Hinman testified in front of Congress and said the SEC had no plans to change its policy and force companies to settle disputes by arbitration.
Turbo Tax To Make Cyrpto-Profit Tax Filing Easy
The electronic tax preparer is touting Token Tax, its software add-on to hep crypto traders and investors easily account for tax burden of all their trades.
Crypto MidWeek Buzz : Questions persist on key crypto fundamentals, but investors dive in
Charts of crypto give mix results but U.S.
Federal Judge Imposes Million Dollar Fine in Futures Scheme – CFTC
The CFTC cautions victims that restitution orders may not result in the recovery of money lost because wrongdoers may not have sufficient funds or assets.
Regtech Will Help According FINRA Panel
regtech would apply: surveillance and monitoring, AML compliance, regulatory intelligence, risk management, and investor risk assessment.