On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of Compliance Inspections and Examinations (OCIE).
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FINRA Requests Information Regarding Firm Culture and Values
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)
FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency
No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically
FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions
Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules
Revised Pay-to-Play Rules
Research Note: Equity Market Volatility on August 24, 2015
FINRA’s 2016 Regulatory and Examination Priorities
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