FINRA requires reporting of secondary-market transactions in Treasury securities
William Heyman will take the helm at the U.S. SRO in July
The U.S. SRO seeks to establish an ongoing dialogue on innovation and its possible impact on the financial industry
Forthcoming proposals will include enhanced disclosure, heightened supervision
The SEC and FINRA will hold their national compliance outreach program on July 27
The helpline has also led to almost 650 issues being referred to other regulators, the U.S. SRO reports
Additional proposals include updates to rules on underwriting arrangements
The guidelines have also been revised to include sections relating to systemic supervisory failures, borrowing and lending arrangements and short interest reporting
Firms will have the power to place a temporary hold on client funds or securities that are to be disbursed if there’s a “reasonable belief of financial exploitation”
The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations
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