Articles by Compliance Reporter
NASAA: End Mandatory Arbitration
2/15/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
David Massey
State regulators have urged the
Securities and... Read >>
FINRA Eyes Outside Activities
2/14/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
Clifford Kirsch
The
Financial Industry Regulatory Authority... Read >>
FINRA Eyes New Social Media Guidance
2/10/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
Joseph Price
The
Financial Industry Regulatory Authority
is... Read >>
IIROC Fines CS Over DMA Supervision
2/9/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
Credit Suisse Securities
(Canada)
will pay C$165,000 ($167,000) to settle charges that the firm
failed to supervise the use of its direct market access system. As
part of the settlement... Read >>
Firms Reject Canada Dark Pool Plan
2/1/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
Canadian regulators should not move to wall off dark pools from
accepting small or retail-sized orders, industry officials have
argued. In separate comment letters, officials from
Goldman Sachs... Read >>
SEC Green-Lights Public Arbitration Plan
1/31/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
The
Securities and Exchange Commission
has approved a
Financial Industry Regulatory Authority
proposed rule change that gives customers in all FINRA arbitrations
the option of having an... Read >>
SEC Faces Pay-To-Play Exemption Deluge
1/27/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
The
Securities and Exchange Commission
may be underestimating the number of applications it will have to
process for exemptions due to inadvertent violations of its
anti-pay-to-play rule.
... Read >>
Euro Reg Raises U.S. Swaps Concerns
1/24/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
Carlos Tavares
The
European Securities and Markets Authority... Read >>
BNY Mellon Unit To Pay $24M In Supervisory Action
1/20/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
BNY Mellon Securities
has agreed to settle a
Securities and Exchange Commission
administrative proceeding for a total of roughly $24 million,
comprising disgorgement, interest and a... Read >>
PFM Hires Compliance Boss
1/20/2011, 7:00 pm from Compliance Reporter in Financial Advisor Center, Business
The
PFM Group
has hired
Leo Karwejna
as a managing director and chief compliance officer. The group,
which includes
Public Financial Management
, provides financial and investment... Read >>