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Banking Business Review
May 21
Comment
Dinan & Company, an investment bank has launched a new crowdfunding portal, called ConfidentCrowd at Financial Industry Regulatory Authority (FINRA) 2012 Annual Conference in Washington, US.
Mondo Visione
May 3
Comment
The Securities and Exchange Commission today announced that it is re-opening the public comment period for proposed amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers.
Additional...
The Globe and Mail
Apr 12
Comment
Worlds largest money manager by assets applies to SEC to compete against big Wall Street banks
Mondo Visione
Mar 13
Comment
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Goldman Sachs Execution & Clearing, L.P. (GSEC), a registered futures commission merchant based in New York, N.Y., agreed to pay a $5.5 million civil monetary penalty and...
Mondo Visione
Feb 23
Comment
SIFMA today announced it has developed a new Institutional Suitability Certificate to facilitate broker-dealer compliance with new FINRA Rule 2111, specifically when dealing with institutional clients.
FINRA Rule 2111 establishes new...
Market Intelligence Center
Dec 20
Comment
DJ US Broker-Dealers (AMEX:IAI) closed Monday's deflating trading session at $19.89. In the past year, the ETF has hit a 52-week low of $18.54 and 52-week high of $31.64. DJ US Broker-Dealers (IAI) has been showing support around $19.47 and...
Financial Times
Dec 4
Comment
Broker-dealers are working to agree technical standards for open-source software in a move which could help open up electronic trading
Market Intelligence Center
Dec 1
Comment
DJ US Broker-Dealers (AMEX: IAI) closed Wednesday's trading session at $21.20. In the past year, the ETF has hit a 52-week low of $18.54 and 52-week high of $31.64. DJ US Broker-Dealers (IAI) has been showing support around $20.51 and resistance...
Mondo Visione
Nov 30
Comment
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) today issued a
Risk Alert
and a
Regulatory Notice
on broker-dealer branch...
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