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…
FINRA Announces Plan to Consolidate Examination and Risk…
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication…
FINRA Issues New Rules on Debt Securities Disclosure
American broker/dealers will need to increase their disclosure to close bond transactions. That is the effect of an enhancement to a rule to take effect on May 14 by FINRA, the Financial Industry Regulatory Authority.…