Search for: "Securities and Financial Markets Association"
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30 Jul 2007, 9:29 am
Citing figures released last week by the Securities Industry and Financial Markets [...] [read post]
26 Aug 2021, 4:42 pm
Financial Regulators: Overview and Recent Actions, Updated August 26, 2021: “Under the Biden Administration,financial regulators have announced a range of new measures to address financial risks associated with climate change. [read post]
12 Jan 2012, 1:09 pm
The hedge fund and securities industries are concerned that the proposed definition of eligible contract participant under the Dodd-Frank Act will cause substantial disruptions to financial markets. [read post]
1 Aug 2012, 4:42 pm
Noting the timeliness of the SEC report on the municipal securities market, House Financial Services Chair Spencer Bachus (R-ALA), said that he plans to hold hearings on the report in the Fall. [read post]
31 Jul 2018, 11:02 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), RBC Capital Markets broker Cheryl George has violated securities laws and internal firm rules. [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]
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]
10 Apr 2012, 11:33 am
The hedge fund, securities and banking industries, along with other financial trade associations, filed an amicus brief in the US Supreme Court arguing that the federal bankruptcy code does not allow a debtor to bar secured lenders from credit bidding to protect themselves against the potential undervaluation of their collateral in bankruptcy. [read post]
31 Aug 2009, 9:41 am
While I really enjoy teaching the course, I can't help but wonder whether it should be retooled in light of today's financial markets. [read post]
2 Dec 2011, 11:53 am
The Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association contend that the Commodity Futures Trading Commission failed to evaluate the economic impact of its position limits rule. [read post]
6 Dec 2011, 12:12 pm
The letter was signed by the American Bankers Association, SIFMA, and the Financial Services Roundtable. [read post]
11 May 2022, 9:01 pm
It’s good to be back with the International Swaps and Derivatives Association (ISDA) again. [read post]
29 Aug 2010, 4:45 pm
The Financial Industry Regulatory Authority, the Securities and Exchange Commission, and the North American Securities Administrators Association have updated their 2008 report regarding financial firms’ best practices when serving elderly investors. [read post]
11 Dec 2018, 6:01 am
On 7 December 2018, several industry associations (the International Swaps and Derivatives Association, the Futures Industry Association, the Association for Financial Markets in Europe and the International Capital Markets Association) published a letter that they had jointly sent to Commissioner Valdis Dombrovskis (Vice-president for the Euro and Social Dialogue, Financial Stability, Financial Services and… [read post]
13 Apr 2022, 8:00 am
Continue Reading › The post SEC Chairman Gensler Advocates for Cryptocurrency Market Regulation appeared first on Securities Fraud Lawyers Blog. [read post]
15 Feb 2018, 10:03 am
Addressing the Securities Industry and Financial Markets Association’s Anti-Money Laundering & Financial Crimes Conference, Sigal Mandelker spoke broadly of the U.S. government’s efforts to combat money laundering, terrorist financing, narcotics trafficking, corruption, and other types of illicit finance and national security threats. [read post]
29 Jun 2023, 11:38 am
’s Financial Conduct Authority (“FCA”) will introduce new rules later this year for those marketing cryptoassets to U.K. consumers. [read post]
16 Jun 2018, 1:49 pm
From November 2005 until December 2017 Salerno was associated with RBC Capital Markets, LLC. [read post]
14 Nov 2019, 7:01 am
On 12 November 2019, the Association for Financial Markets in Europe (AFME) published a joint letter, in collaboration with 13 other trade associations, to the European Commission (Commission) on temporary equivalence and recognition in relation to UK central counterparties (CCPs). [read post]
7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas 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… [read post]
