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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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BD and IA Registration Renewals ... And Other SEC / FINRA Headlines
November 1, 2018
- FINRA RegNote 18-37: Broker-Dealer, Investment Advisor Registration Renewals for 2019 [FINRA]
- SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts [SEC PR]
- SEC Statement on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants [SEC PR] [SEC Statement]
- New FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information) [FINRA]
- Starting Small - What Is Micro Investing? [FINRA]
- FINRA Holding Special Election to Fill Small Firm Seat on NAC [FINRA]
