ISDA, the International Capital Market Association and the International Securities Lending Association signed a memorandum of understanding intended to enhance collaboration for the development of a "Common Domain Model."
News & Insights
21975 News Results
An investment banking and broker-dealer firm settled FINRA charges for failing to file and failing to timely file notifications under SEC regulations prohibiting manipulation of securities offerings.
In remarks at a national security forum, SEC Chair Gary Gensler highlighted gaps in the regulation of cryptocurrencies that raise AML concerns and put investors at risk.
The MSRB appointed new members to its Board of Directors. They will begin their four-year terms on October 1, 2021.
A full-service broker-dealer firm settled NYSE charges for routing competing orders for the same security at the same price, for the account of the same principal, to two different floor brokers.