Search for: "Securities and Financial Markets Association"
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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]
3 Nov 2023, 10:39 am
Unlike the open stock markets like the NYSE, where anyone can trade, private securities transactions are different. [read post]
6 May 2010, 12:35 pm
SEC Chairman Mary Schapiro, Keynote Address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar, Harbor Place, Maryland, May 6, 2010 [read post]
19 Mar 2013, 12:40 pm
The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, Heath Abshure, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at... [read post]
14 Jun 2010, 1:02 pm
The Securities Industry and Financial Markets Association (SIFMA) today released the results of a study intended to assist regulators and policymakers in preparing for expanded systemic risk oversight and enhance their ability to respond to potential future systemic risk events.... [read post]
14 Mar 2024, 6:19 pm
Another problem often associated with alternative investment recommendations is the high sales commissions brokers typically earn – as high as 15%. [read post]
2 May 2024, 7:32 am
The associations asked the CFTC to take a principles-based approach and engage further with market participants.The feedback was in response to a CFTC request for comment on AI use and risks in CFTC-regulated markets. [read post]
17 Nov 2021, 1:41 pm
Whistleblowers help maintain the integrity and fairness of U.S. financial markets. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed and registered with Concept Capital Markets, LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jul 2011, 5:10 pm
., the Securities Industry and Financial Markets Association and the Securities and Exchange Commission have submitted separate amicus curiae briefs to the U.S. [read post]
12 Nov 2019, 2:30 pm
Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [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]
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]
9 May 2016, 10:30 am
FINRA, the non-governmental organization that regulates member brokerage firms and exchange markets, has opened a search for a Manager/Associate Director for its Office of the Ombudsman. [read post]
26 Jun 2018, 10:49 am
The International Swaps and Derivatives Association (“ISDA“), the Association of Financial Markets in Europe (“AFME“), International Capital Market Association (“ICMA“) and the Securities Industry and Financial Markets Association (“SIFMA“) and its asset management group (SIFMA AMG) have published a new report that assesses the issues involved with… [read post]
22 Dec 2014, 1:59 pm
Why are they important to the financial system? [read post]
5 Oct 2008, 11:10 pm
But what is "mark to market" and what does it mean in terms of long term financial security? [read post]
17 Jan 2011, 4:53 pm
The Alternative Investment Management Association (AIMA) comments were a consultation response sent to the new European Securities and Markets Authority (ESMA). [read post]
25 Aug 2011, 1:05 pm
The North American Securities Administrators Association (NASAA) recently released its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets. [read post]
19 May 2008, 12:50 pm
The Securities Industry and Financial Markets Association, SIFMA, offers a 2-hour CLE Legal Ethics Workshop on Tues., June 3, 2008, in New York City. [read post]
