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The industry veteran will be chief counsel and chief compliance and ethics officer in the in the Office of Compliance Inspections and Examinations.
July 10 -
On July 10, 2012, The 32-year wait for a comprehensive record-keeping system to monitor trading across U.S. equity and options markets is approaching conclusion.
July 10 -
As financial professionals grapple with a new regulatory mandate for the suitability of investment advice, a leading industry advocacy group is continuing its opposition to two key provisions of the new rules from the Financial Industry Regulatory Authority (FINRA) that took effect Monday.
July 9 -
The time has finally arrived. FINRAs new suitability and know-your-customer rules take effect today.
July 9
- Money Management Executive
On July 9, 2012, Just how tough can it possibly be to successfully stage an IPO, at a time when the bulk of trading on the nation's equity markets is automated? And when it will only get more so? The failure of the Facebook IPO has so rattled investors that it has become a totem of their lost faith in the orderly functioning of capital markets.
July 6 -
The SEC named Norm Champ director of the agencys division of investment management, replacing Eileen Rominger, who is retiring.
July 6 -
The SEC approved a pilot plan that will allow some orders to go undisplayed on the New York Stock Exchange as a way for the biggest stock trading venue to attract individual investors.
July 6 -
A federal appeals court struck down Goldman Sachs appeal of a $20.6 million arbitration award decision on Tuesday, holding up the original 2010 decision in favor of creditors of the Bayou Group.
July 5 -
An investment management firm now owned by Wells Fargo has agreed to pay $25 million to settle claims that it misled investors about the makeup of a mutual fund it once marketed.
July 5 -
Ken Joseph will take over the role of regional director of the examination program for the New York Offices of the SEC
July 3
