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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Charles Gittleman ordered by Published Date Descending.
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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
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
3
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
4
Preparing For Large Trader Reporting
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
12 Oct 2011
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