Search for: "Securities and Financial Markets Association"
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29 Oct 2012, 8:37 am
The problem with the Mortgage Backed Securities is that major financial institutions have misrepresented the risk associated with the investments. [read post]
6 Oct 2009, 12:33 pm
JOHN TAFT testified today on behalf of SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION before U.S. [read post]
15 Jul 2011, 6:40 am
The Volcker Rule largely prohibits proprietary trading by banking entities—in effect, reintroducing to the financial markets a substantial portion of the Glass-Steagall Act’s static divide between banks and securities firms. [read post]
4 Oct 2011, 8:22 am
However, long before May 2008, there was substantial adverse information in the market place regarding the troubles at the Federal National Mortgage Association. [read post]
19 Nov 2015, 4:42 pm
Chapter 2 examines in detail the factors that influence levels of liquidity in securities markets, as well as the implications of low liquidity. [read post]
18 Aug 2009, 1:45 pm
On August 17 the Financial Planning Association (FPA) wrote to the SEC questioning the authority of FINRA to bring an enforcement action against a dual registrant (Ameritas) relating to its marketing of misleading financial plans. [read post]
16 Oct 2011, 8:58 pm
The Securities Industry and Financial Markets Association is recommending a number of best practices for financial firms that work with Expert Networks and their Consultants. [read post]
27 Oct 2021, 8:55 pm
The AFME is the European member of the Global Financial Markets Association (GFMA) a global alliance with the Securities Industry and Financial Markets Association (SIFMA) in the US, and the Asia Securities Industry and Financial Markets Association (ASIFMA) in Asia. [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]
18 Jan 2011, 7:21 am
Recently, business librarians from the Business Reference and Services Section of the American Library Association named the "Best of the Best Business Websites" and featured BigCharts.com. [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]
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]
8 Oct 2020, 1:50 pm
Policy on the Art Market: Recommendations for Combating Financial Crimes. [read post]
8 Oct 2020, 1:50 pm
Policy on the Art Market: Recommendations for Combating Financial Crimes. [read post]
1 Nov 2011, 4:09 pm
In his view, quality regulation results from an interactive process, which is why it is important for a securities regulator to continue to communicate with a cross section of the market as well as globally. [read post]
28 Jul 2023, 1:02 pm
Elements of Securities Fraud – What you need to know Securities fraud is a serious crime that involves the manipulation of financial markets for personal gain. [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]
12 Feb 2021, 11:00 am
Silverstein has a history of associations with disreputable broker-dealers, financial liens, and at least one customer complaint. [read post]
20 Nov 2013, 8:30 am
This includes investors as well as financial professionals, broker-dealers, businesses and the various securities markets. [read post]
18 Apr 2014, 6:04 am
This post is based on Chair White’s remarks to the Securities Industry and Financial Markets Association (SIFMA) 2014 Compliance & Legal Society Annual Seminar; the full text, including footnotes, is available here. [read post]
