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Keyword: Self-regulatory organizations

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guidelines and regulations binders

They take effect in September

Not responding will result in a much harsher penalty

The U.S. regulator aims to enhance compliance and cut costs with its new initiative

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

New system to enhance SRO's ability to detect possible market abuse

fintech and blockchain icons on financial technology background

The Office of Financial Innovation will lead the SRO's handling of fintech-related issues

Simple better than complicated

Compliance officers still hoping for national regulator, SRO merger

Closeup of mallet being hit on stacked coins at table in courtroom

The rep also received a lifetime ban

  • By: IE Staff
  • March 29, 2019 August 15, 2019
  • 11:27

A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI

High angle view of businesspeople over boardroom table collaborating celebrating

The SRO said the proposed changes would enhance the independence of its governance committee

Candidates must be officers or employees of a dealer