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Searching Content indexed under Finance and Banking by Charles Gittleman ordered by Published Date Descending.
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1
FINRA Proposes Revisions To Gifts, Gratuities And Non-Cash Compensation Rules
On August 5, 2016, FINRA in Regulatory-Notice 16–291 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash compensation and requested comments to the same.
United States
22 Aug 2016
2
FINRA Proposes Revisions To Fixed-Income Research Rule
Earlier this week, FINRA filed with the SEC proposed revisions to Rule 2242,2 FINRA's new fixed-income research rule.
United States
2 Jun 2016
3
FINRA's New Fixed Income Research Rule and Modifications to Equity Research Rule
The long-anticipated overhaul of FINRA's research rules has now been approved by the SEC.
United States
13 Oct 2015
4
FINRA Publishes FAQs Regarding Research Conflicts Of Interest In The Offering Process
In late May, FINRA published a set of Frequently Asked Questions regarding FINRA's equity research rule, which addresses interactions between issuers, research analysts and investment bankers in various stages of the offering process (the "Research FAQs" or the "FAQs").
United States
13 Oct 2015
5
FINRA Requests Comment On Proposed Rule Requiring Delivery Of FINRA Disclosure Document To Customers Of Transferring Representatives
The FINRA Disclosure Document highlights potential implications of transferring assets to the representative's new firm and encourages the retail customer to ask questions regarding those considerations to the new firm.
United States
5 Aug 2015
6
FinCEN Proposes New Rule Requiring Identification Of Beneficial Owners
The rule would mandate that financial institutions require their legal entity customers to identify natural persons meeting certain ownership thresholds.
United States
17 Sep 2014
7
Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems To Report Activity Weekly
US-registered broker-dealers that operate Alternative Trading Systems will have to report volume information, by security, to FINRA weekly.
United States
21 Mar 2014
8
SEC Offers Relief To M&A Brokers
The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important "No-Action" Letter.
United States
27 Feb 2014
9
FINRA Proposes Amendment To Corporate Financing Rule And Conflict Of Interest Rule
FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry.
United States
19 Feb 2014
10
FINRA Proposes Amendment To Corporate Financing Rule And Conflict Of Interest Rule
FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry.
United States
19 Feb 2014
11
SEC Approves Amendment To FINRA IPO Allocation Rule 5131, Easing Compliance For Fund Investors
On November 27, 2013, the Securities and Exchange Commission approved a change to FINRA’s IPO allocation rule 5131.
United States
11 Dec 2013
12
Dodd-Frank: The Liquidity Proposal Is Issued
The three Federal bank regulatory agencies have reached agreement on the terms of a proposed regulation that, for the first time, would impose quantitative requirements on major US banks’ liquidity management practices.
United States
30 Oct 2013
13
Preferring Foreign Depositors – The Final Rule
Federal Deposit Insurance Corporation has issued a final rule adopting with virtually no change its proposed approach to depositor preference for deposits payable at foreign offices of US banks.
United States
23 Sep 2013
14
Another Dodd-Frank Tax On Size: The Fed Charges For Big-Bank Supervision
An obscure section of the Dodd-Frank Act has been implemented by the Federal Reserve, to be effective later this year.
United States
28 Aug 2013
15
SEC Adopts Changes To Broker-Dealer Net Capital And Financial Responsibility Rules
The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules
United States
22 Aug 2013
16
FINRA Proposes To Publicly Disseminate Transaction Information Regarding Rule 144A Corporate Debt Securities
FINRA has proposed a trade-reporting rule change that would result in the public dissemination of secondary market transactions in corporate debt securities sold under Securities Act Rule 144A.
United States
24 Jul 2013
17
Private Placement Update: FINRA Proposes Form Of Electronic Filing For Private Placements Under Rule 5123
The U.S. Financial Industry Regulatory Authority, Inc. recently filed a proposed rule change with the Securities and Exchange Commission concerning the obligations of members under FINRA Rule 5123 to provide notice when participating in certain private placements of securities.
United States
28 Jun 2013
18
Large Trader Reporting FAQs
Recently, the Securities and Exchange Commission ("SEC") adopted its proposed Large Trader reporting rule, Rule 13h-1, along with Form 13H, a reporting form designed to enhance the ability of the SEC to identify large market participants, collect information on their trading, and analyze their trading activity.
United States
14 Nov 2011
19
FINRA Seeks To Expand Regulation Of Private Placements
On October 4, 2011, the Financial Industry Regulatory Authority ("FINRA") filed with the Securities and Exchange Commission ("SEC") a proposed rule change to adopt the new FINRA Rule 5123 ("Rule 5123"), which would significantly expand the scope of FINRA’s regulation over broker-dealer participation in private placements.
United States
1 Nov 2011
20
Preparing For FINRA Operations Professional Registration
On October 17, 2011, FINRA Rule 1230(b)(6) (the "Rule") becomes effective, establishing Operations Professional registration for FINRA member firms.
United States
13 Oct 2011
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