FINRA Issues New Rules on Debt Securities Disclosure
American broker/dealers will need to increase their disclosure to close bond transactions.
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Feature Articles
Longer reads on technology, regulation and company announcements.
684 stories since 2017 · page 31 of 35
May 2018
New York Currency Trader Latest in USDOJ Currency Fraud Crackdown
An indictment against a former New York currency trader is the latest salvo by the US Department of Justice in its crackdown on corrupt currency traders.
CBO Finds Fannie/Freddie CRT Program Moves Risk Away from Taxpayer
A program to move risk in mortgage backed securities from the taxpayer to the private market has reduced US taxpayer’s risk exposure by 11%.
RegTech Specialist muinmos Gains High-Profile Investment
RegTech Specialist muinmos has attracted two high profile investors, giving the company another tick of approval.
Fed Fines Goldman for Lack of Institutional Control in Forex
The Federal Reserve fined one of the world’s biggest investment banks over $50 million for a lack of institutional control in their foreign exchange division.
April 2018
SEC Chair Sells New Best Interest Rule on Capitol Hill
The implementation of a new best interest standard for broker/dealers is necessary, the Chairman of the Securities and Exchange Commission (SEC) stated.
Former HSBC Forex Trader Headed to Prison
The former head of HSBC’s Global Foreign Exchange Cash-Trading will be spending time in the slammer.
CFTC Busts Pennsylvania Forex Fraudster
The Commodities Futures Trading Commission (CFTC) busted a forex scheme, which recruited potential traders with false and misleading promises.
CFTC’s Head of Enforcement Talks Precious Metals Investigations
If you are watching cable news, you might be tempted to trade in the precious metals market.
SEC Proposes Fiduciary Rule Alternative
The Securities and Exchange Commission(SEC) proposed an alternative to the so-called Fiduciary rule.
Fed VP Calls for Volcker Rule Streamlining
The head regulator for the Federal Reserve called for more streamlining of the Volcker.
CFTC Releases Video on Binary Options Fraud
On the day it announced charges in a binary options scheme, the Commodities Futures Trading Commission also announced a video series on binary options fraud.
Fed President in New York Calls for Floor Monetary Policy
The New York Fed Governor signaled his support for so-called “floor system” of monetary policy.
Robo-Advice Gaining Traction in Australia
In recent years the popularity of Robo-Advisors has continued to grow.
House Passes Volcker Rule Fix
An alternative to the Volcker rule passed the House of Representatives.
FINRA Fines Nomura Trading Arm
The equity trading arm of Nomura was fined $1.5 million by the Financial Industry Regulatory Authority (FINRA).
Analyst Said Volatility Missing in Currencies
The head of forex research for Deutsche Bank noted that volatility in most markets has thus far by-passed the traditional currency markets.
Madoff Victims Get Some Relief
The US Department of Justice announced the latest round of payments for his victims were starting.