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…
A bi-partisan proposal aims to help securities fraud…
A bi-partisan proposal , The Chair of the Securities and Exchange Commission, Jay Clayton, and the Chair of the Commodities Futures Trading Commission (CFTC), Chris Giancarlo, both appeared in front of the Senate Appropriations Committee…
Institutions Dominate Proxy Process
The proxy process for publicly traded companies has been taken over by institutional investors at the detriment of retail traders and investors. The US Senate Committee on Banking, Housing, and Urban Affairs (SCB) held a…
SEC Names Jeffrey Dinwoodie Senior Counsel and Policy…
The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market and Activities-Based Risk. Chairman Jay Clayton has created this senior officer position to manage…
Arbitration may Still be Coming to Shareholders Unhappy…
Arbitration may still be coming to shareholders unhappy with the publicly traded company stock they own. In May 2018, the Securities and Exchange Commission’s (SEC) Head of Corporate Finance William Hinman testified in front of…
SEC Names Manisha Kimmel as Senior Policy Advisor…
The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to Chairman Jay Clayton. In this new role, Ms. Kimmel will coordinate the SEC’s oversight of…
SEC Blames SRO’s for Slow CAT Rollout
The Consolidated Audit Trail (CAT) is behind schedule and the Securities and Exchange Commission (SEC) is blaming the Self-Regulatory Organizations (SROs), including FINRA, the Financial Regulatory Authority. Jay Clayton, Chairman of the SEC, was on…
Investor Testing of the Proposed Relationship Summary for…
Washington D.C., Nov. 7, 2018 — In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate…
SEC Meets Music City Entrepreneurs
Nashville’s nickname of “Music City” comes from its reputation as home to live music—from honky-tonks to the Grand Ole Opry. But more recently the city has been earning a reputation as home to a booming…