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 and NASAA Explain Application of Securities Laws…
Washington D.C., July 15, 2019 — The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal and state securities laws to…
SEC, NASAA, and FINRA Issue Senior Safe Act…
Washington D.C., May 23, 2019 — In recognition of the one-year anniversary of the passage of The Senior Safe Act, the Securities and Exchange Commission, the North American Securities Administrators Association (NASAA), and the Financial…
AOC Speaks Against Force Arbitration
Alexandria Ocasio-Cortez (AOC) thinks forced arbitration is a threat to market integrity. “If we do nothing about forced arbitration and allow this practice to continue, could this mean that information about how companies are deceiving…
FINRA to Upgrade Registration System
FINRA’s system for registering broker/dealers is getting an upgrade and moving into the 21st century. FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system for FINRA, all of the Securities and…
FINRA Requests Comment on Fintech Innovation in the…
WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support fintech innovation consistent with its mission of investor protection and market integrity. The announcement builds on an initiative FINRA launched last year to…
BCSC participates in coordinated international crypto asset crackdown
The British Columbia Securities Commission (BCSC) today announced its participation in an international crackdown on fraudulent Initial Coin Offerings (ICOs) and cryptocurrency-related investment products. The work is being coordinated by the North American Securities Administrators…