Search for: "SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION"
Results 61 - 80
of 4,081
Sorted by Relevance
|
Sort by Date
18 Jan 2011, 7:21 am
Since this site is compiled by MarketWatch, a service of the Wall Street Journal Digital Network, the market and industry analyses available are also worth checking out for those tracking an industry over time. [read post]
20 Dec 2019, 9:01 am
On 19 December 2019, the Association of Financial Markets in Europe, Futures Industry Association, International Capital Market Association, International Swaps and Derivatives Association, Inc. and International Securities Lending Association co-published a new agreement intended to simplify reporting across different EU regulatory regimes. [read post]
4 Apr 2018, 3:19 am
On 3 April 2018, the Global Financial Markets Association (GFMA) published A Framework for the Regulatory Use of Penetration Testing in the Financial Services Industry. [read post]
26 Apr 2021, 9:05 pm
Securities Markets? [read post]
6 Mar 2011, 2:57 pm
In a letter to the SEC and CFTC, the Securities Industry and Financial Markets Association urged the Commissions to carefully consider comity and the extraterritorial application of the derivatives provisions in Title VII of Dodd-Frank when adopting swap dealer regulations for a global marketplace. [read post]
2 May 2024, 7:32 am
”But industry groups FIA, SIFMA, and the U.S. [read post]
4 Jun 2018, 7:13 am
Wendel from the securities industry. [read post]
29 Jul 2009, 9:10 am
The Securities Industry and Financial Markets Association, an important Wall Street lobbying group, has decided to support the Obama administration's proposal to hold brokers to the same standard as a fiduciary when they provide investment advice, according to a recent report in The Wall Street Journal. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
17 Feb 2023, 5:06 am
The National Association of Securities Dealers, Inc. [read post]
2 Jun 2011, 8:40 am
In a letter to the SEC, SIFMA and the Futures Industry Association said that by providing market participants with the opportunity to comment more meaningfully on the new regulatory structure, the Commission will be better able to draft effective final rules and ensure that it has used a process providing for the least possibility of unintended consequences, adverse market impact and anti-competitive impact while still achieving the objectives of Dodd-Frank. [read post]
10 Mar 2012, 3:24 pm
The hedge fund industry supports a robust regulatory framework for the EU Markets in Financial Instruments Directive (MiFID) that includes an effective internal compliance function. [read post]
2 Jun 2011, 4:22 pm
In a letter to the CFTC, SIFMA and the Futures Industry Association said that by providing market participants with the opportunity to comment more meaningfully on the new regulatory structure, the Commission will be better able to draft effective final rules and ensure that it has used a process providing for the least possibility of unintended consequences, adverse market impact and anti-competitive impact while still achieving the objectives of Dodd-Frank. [read post]
14 Jan 2012, 2:36 pm
The European Securities and Markets Authority (ESMA) was urged by the US hedge fund industry to provide clarifying guidance on aspects of the recently approved EU Regulation restricting transactions in short sales and credit default swaps. [read post]
18 Jan 2010, 1:44 pm
The New York Times reports that the banking industry is not taking the proposal of a special bank tax lying down (emphasis added): In an e-mail message sent last week to the heads of Wall Street legal departments, executives of the lobbying group, the Securities Industry and Financial Markets Association, wrote that a bank tax might [...] [read post]
29 Aug 2017, 5:00 am
The International Swaps and Derivatives Association (ISDA) and the Securities Industry and Financial Markets Association (SIFMA), the financial industry trade organizations, submitted a joint letter reflecting many of the above comments, while also encouraging regulatory harmonization among the CFTC, global regulators, and the SEC, including aligning reporting requirements on key economic and real-time data fields and values to… [read post]
27 Apr 2015, 11:37 am
Broker-dealers are the gatekeepers of the securities markets for most public investors, and are thus charged by the securities laws and industry rules to reasonably ensure that registered representatives, who are licensed to recommend securities purchases and sales, do not engage in violative behavior. [read post]
16 Jun 2018, 1:49 pm
Salerno entered the securities industry in 1988. [read post]
14 Nov 2017, 12:21 pm
Correnti Barred from Securities Industry appeared first on White Securities Law. [read post]
20 Nov 2013, 8:30 am
The divisions consist of: · Corporation Finance · Trading and Markets · Investment Management · Enforcement · Risk, Strategy, and Financial Innovation Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that acts as the securities industry watchdog. [read post]
