OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
SEC Provides for Phased CAT Broker-Dealer Reporting Timelines…
Washington D.C., April 20, 2020 — The Securities and Exchange Commission - SEC provides for phased CAT Broker-Dealer Reporting timelines with conditional exemption for impacts of COVID-19. SEC announced it has voted to issue two…
FINRA Forms Office of Financial Innovation, Announces Haimera…
WASHINGTON – FINRA today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new…
Tradeview Launches Direct Market Access to US Stocks…
Retail online trading broker Tradeview has announced the launch of US equity trading directly on the Metatrader 5 platform in order to provide traders with direct market access (DMA) to stocks listed on the New York…
Broker-Dealer to Pay $2.75 Million Penalty for Providing…
Washington D.C., Sept. 13, 2018 — The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that the broker-dealer…
Upcoming Elections for FINRA Committee
[caption id="attachment_317840" align="alignleft" width="127"] Chip Jones, FINRA’s Senior Vice President[/caption] FINRA, the Financial Industry Regulatory Authority, will soon have an election for two members of the Small Member Firm Committee. Chip Jones is FINRA’s Senior…
Seed CX Raises $15m From Bain to Expand…
Cryptocurrency exchange Seed CX, the first licensed virtual asset exchange to offer institutional trading and settlement for both spot market and CFTC-regulated derivatives, raised $15 million in a Series B funding led by the only…
Daniel Gregus Named National Associate Director of Clearance…
[caption id="attachment_312722" align="alignleft" width="200"] Daniel Gregus[/caption] Washington D.C., July 25, 2018 — The Securities and Exchange Commission today announced that Daniel Gregus has been named National Associate Director of the Clearance and Settlement examination program…
SEC Adopts Rules to Enhance Transparency and Oversight…
Washington D.C., July 18, 2018 — The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that…