Proposal would make it easier to demonstrate and maintain qualifications
The historical trading data is intended to encourage academic research on bond markets
The SRO’s report provides an overview of the technology, highlights its possible applications, and regulatory considerations for broker-dealers
Firms sanctioned for failing to protect records from alteration
The U.S. SRO will undertake a search for a replacement and consider both internal and external candidates
In addition, investor literacy remains relatively low as 56% failed a 10-question quiz and only 10% answered at least eight of 10 correctly
VALIC Financial Advisors was fined US$1.75 million for giving its registered reps a financial incentive to recommend proprietary products
FINRA Foundation accepting nominations for Ketchum Prize
The new reporting requirement is intended to enhance regulatory oversight of the U.S. Treasury market
The is being sanctioned in connection with trade reporting failures and related supervisory violations
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