Posts Tagged “SIFMA”
by The Compliance Exchange on September 11, 2012
The Securities Industry and Financial Markets Association has responded to a call by House Financial Services Committee Chairman Spencer Bachus (R-AL) for alternatives to the Volcker Rule
Regulators Designate Swaps Clearinghouses Systemic, New Rules for Prepaid Debit Cards, SIFMA Looks at Segregation of Market Maker Desks: CompliancEX News 5/23/2012
by The Compliance Exchange on May 23, 2012
A look at today’s top Compliance & Regulatory stories on the web.
by The Compliance Exchange on April 25, 2012
Judge Denies AIG Motion in BofA Settlement, SEC Probes Into Movie Studios China Dealings, REIT’s Spring an Unnerving Surprise, FINRA Increases Brokerage Fees