Modernising reporting instructions is a key pillar of the FCA’s work, alongside the Bank of England, to transform data collection. The other pillars of our Transforming Data Collection programme are integrated reporting and data standards, which we believe will collectively support us to achieve a vision of digital regulatory reporting and digital regulation. Your initiative is a hugely
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
Do not limit my financial decisions.
Leave MY Financial FREEDOM Alone!!
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
I oppose the imposition of the new financial regulations as unnecessary.
Please stop this. This is not rational and not healthy for the financial market.
Chairman Clayton, Commissioners, and Members of the Committee, thank you for inviting me to appear before you today to discuss the important issue of customer recovery in the financial services industry, including the issue of unpaid arbitration awards. For purposes of today’s discussion, my remarks are focused on unpaid awards in customer arbitration cases.
FINRA is fully committed to reducing
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
