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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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FINRA Upgrades the CRD System ... and Other Regulatory Headlines and Headliners
October 17, 2018
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FINRA Modifies Dissemination Protocols for Agency Debt Securities [FINRA RegNote]
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Insider Trading Charges for Ebay's Former Director of SEC Reporting [SEC]
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Former BDO Accountants Suspended for Improperly “Predating” Audit Work Papers [SEC]
- Reporting U.S. Treasurys: ATSs Will Soon Have to ID Non-FINRA Member Subscribers in TRACE Reports [FINRA RegNote]
- Continuing Education: Admin Changes to Regulatory Element Programs [FINRA InfoNote]
- FINRA Amends Codes of Arbitration Procedure Re: Late Cancellation of Prehearing Conferences [FINRA RegNote]
- FINRA Qualification Exams: Proposed Rule Change Re: Test Results Info [FINRA Rule Filing]
- FINRA Neutral Corner - Volume 3, 2018 [FINRA]
- CRD System: Presentation Changes, New Functionality [FINRA InfoNote]
