Home Self-regulatory organizations Page 13

Keyword: Self-regulatory organizations

330 results found
Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

SRO reform a go after dealer vote

Fund dealers, investment dealers approve merger, with new SRO to launch in 2023

Modern Keyboard Button with Vote Icon - Online Voting and Election Concept

Better the devil you know? SRO dealers set to decide

Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

As new SRO looms, costs rise

Fees, expenses surging ahead of IIROC-MFDA amalgamation

announcement

Mark Gordon steps down as head of MFDA

Karen McGuinness appointed as president and CEO

  • By: IE Staff
  • September 16, 2022 September 16, 2022
  • 15:58
stock market

SRO oversight of U.S. prop traders a positive: Moody’s

SEC proposal to narrow FINRA exemption should benefit brokers

SEC seeks expansion of SRO oversight

Proposal would narrow exemption from FINRA for prop trading firms

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Regulators approve using MFDA discretionary fund to pay new SRO integration costs

Enforcement penalties will be used to help fund the new SRO

New chair, director for MFDA

SRO taps Steven Glover as new chair, brings Steven Donald back to board in new role

IIROC solicits advisory committee nominations

SRO committees focus on market regulation, fixed-income trading issues

Protection people health and insurance concept. Hand shield protect wooden human on table

Regulatory reform, innovation top IAP agenda

Advocacy group calls for regulators to prioritize investor protection