Search for: "Securities Industry and Financial Markets Association"
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8 Nov 2022, 5:06 am
On 7 October 2022, the International Organisation of Securities Commissions (IOSCO) announced a call for action on good sustainable finance practices for financial markets voluntary standard setting bodes and industry associates. [read post]
19 Jun 2009, 5:19 am
This week I attended a meeting here in St Louis of the Securities Industry and Financial Markets Association's Compliance & Legal Division. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment… [read post]
18 May 2007, 3:26 pm
The Securities Industry and Financial Markets Association (SIFMA) was recently formed by a merger of The Securities Industry Association and The Bond Market Association. [read post]
16 Dec 2022, 11:34 am
The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits. [read post]
21 Dec 2013, 10:00 pm
Financial industry representatives related this year to the Senate Banking Committee the impact that default would have on the financial markets. [read post]
9 Jun 2011, 5:13 pm
In a letter to the IRS, the Securities Industry and Financial Markets Association (SIFMA) asked more broadly how the overlap between the existing U.S. payor reporting rules will be reconciled with FATCA . [read post]
2 Aug 2022, 4:40 am
The non-governmental organization that regulates member brokerage firms and exchange markets in the U.S., is hiring an Associate Director, Ombudsman. [read post]
8 Apr 2011, 10:11 am
In a letter to the CFTC, the Securities Industry and Financial Markets Association said that currently there is insufficient evidence to suggest that speculation is affecting commodities markets. [read post]
3 May 2019, 6:26 am
In the Matter of the Applications of Securities Industry and Financial Markets Association and Bloomberg L.P. [read post]
26 Nov 2010, 4:19 pm
The hedge fund industry has urged regulators implementing the orderly liquidation provisions of the Dodd-Frank Act to provide for the fair market valuation of securities of failing financial firms rather than the fixed valuations proposed for government securities and contemplated for other securities. [read post]
21 May 2009, 2:42 am
It is precisely what the associations called an ``immense difference'' between the economic value of the underlying assets in the security and the prices brokers are offering that has frozen the markets. [read post]
5 Aug 2010, 3:03 pm
Goldman Sachs, which is suing to overturn a $20.5 million arbitration award to creditors of the failed hedge fund firm Bayou Group, received support from the Securities Industry and Financial Markets Association. [read post]
12 Nov 2019, 1:06 am
We have recently partnered with the Asia Securities Industry & Financial Markets Association (ASIFMA) on its new industry white paper titled, “Tokenised Securities – A Roadmap for Market Participants and Regulators. [read post]
1 Mar 2011, 8:40 am
SEC-registered investment companies, ERISA plans and funds regulated under the EU UCITS Directive should not be regulated as major swap participants and major security-based swap participants under SEC and CFTC rules implementing the Dodd-Frank derivatives provisions, in the view of the Securities Industry and Financial Markets Association. [read post]
18 May 2012, 5:13 pm
In a letter to the SEC, the Securities Industry and Financial Markets Association (SIFMA) posited that, whether or not a subsidiary of a private company contemplating an IPO has previously issued debt or equity should not affect its ability to enjoy the benefits of the JOBS Act. [read post]
25 Aug 2023, 4:35 am
The non-governmental organization that regulates member brokerage firms and exchange markets in the U.S., is hiring an Associate Director, Ombudsman. [read post]
5 Feb 2021, 12:24 pm
Fuller has 11 years of experience in the securities industry and has been associated with 11 different broker-dealers, including a past association with a firm expelled by FINRA. [read post]
22 Apr 2021, 10:39 am
The non-governmental organization that regulates member brokerage firms and exchange markets in the U.S., is hiring an Associate Principal Analyst Ombudsman. [read post]
19 May 2017, 9:08 am
Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. [read post]
