Posts Tagged “SRO”
SEC’s Gallagher Challenges Idea of FINRA as Advisor SRO
by The Compliance Exchange on October 9, 2012
Daniel Gallaghe revived the debate over whether a self-regulatory organization is needed to oversee advisors
SEC member Gallagher Calls for Review of SROs
by The Compliance Exchange on October 5, 2012
A member of the Securities and Exchange Commission today called for a review of self-regulation of financial companies but said he is keeping an open mind about shifting oversight of investment advisers from the SEC to an industry group
CFTC Proposes Dodd-Frank Delay, Stricter Oversight For Large Exchanges, FINRA’s Cost Estimates Disputed: CompliancEX News 5/11/2012
by The Compliance Exchange on May 11, 2012
JPMorgan’s Big Loss, CFTC Proposes Delay, Global Regulators Unclear, Regulator Approves New Exchange Rules, Advisory Groups Refute FINRA’s Cost SRO
What’s Up at the CFTC?
by Mandy Roth on May 4, 2012
David Meister, Director of Enforcement at the CFTC, explains the self regulatory organization’s bigger footprint and expanded enforcement tools and jurisdiction.
