Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Self-Regulatory Organizations (23)
Your search for Self-Regulatory Organizations returned 23 results.
Sorted by Date

11/22/2017 | Content area: Broker-Dealer
A last minute request by the national securities exchanges and FINRA to extend the CAT plan’s compliance date for reporting data to the central reposi...
4/28/2016 | Content area: Broker-Dealer
The CAT is finally out of the bag. Nearly four years in the making, the SEC voted April 27 to publish for public comment a proposed national market sy...
6/04/2015 | Content area: Broker-Dealer
The debate carries on despite FINRA not actively pursuing the issue: Should the SRO take on examinations of investment advisers? The latest champion f...
10/31/2011 | Content area: Investment Adviser
It's the one thing that's been missing in the debate about creating a new SRO to examine advisers or to go with FINRA: what would it cost an advisory ...
10/25/2010 | Content area: Investment Adviser
The halls of the SEC are busy with organizations entering to influence how the agency translates congressional intent into regulatory action. Another ...
5/03/2010 | Content area: Investment Adviser
SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also question...
5/18/2009 | Content area: Investment Adviser
At least one SEC commissioner stands against the idea of creating an SRO for investment advisers. Commissioner Luis Aguilar staked his ground, saying ...
4/20/2009 | Content area: Investment Adviser
FINRA may have found a way to placate critics who bellow a broker-dealer dominated organization shouldn't become the SRO for investment advisers. A so...
3/08/2005 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-50700; File No. S7-40-04RIN 3235-AJ36CONCEPT RELEASE CONCERNING SELF-REGULATIONAGENCY...
3/07/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-50758A; File No. S7-24-04]RIN 3235-AJ26ISSUER RESTRICTIONS OR PROHIBITIONS ON OWNERSH...
1/11/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 242, and 249[Release No. 34-51019; File No. S7-39-04]RIN 3235-AJ33Fair Administration and Governan...
11/18/2004 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 242, and 249 [Release No. 34-50699; File No. S7-39-04]RIN 3235-AJ33Fair Administration and Governa...
11/08/2004 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-50486; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Re...
2/17/2004 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-49259]Delegation of Authority to the Director of the Division of Market RegulationAGE...
5/01/2002 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45854; File No. S7-14-02] RIN 3235-AI49Assessments on Security Futures Transactions ...
5/08/2001 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240 and 249 [Release No. 34-44279; File No. S7-10-01]RIN 3235-AI20Registration of National Securit...
1/19/2001 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-43860; File No. S7-03-01] RIN 3235-AI06 Proposed Rule Changes of Self-Regul...
7/24/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION(Release No. 34-40260; File No. 4-208)RIN 3235-AH49Proposed Rulemaking Pursuant to Section 11A of the Securities Exc...
6/24/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-40129 , File No. S7-18-98)RIN 3235-AH30Amendment to Rule 9b-1 under the Securities Ex...
4/17/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249[Release No. 34 - 39885; File No. S7-13-98]RIN 3235-AH39Proposed amendment to Rule 19b-4, un...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US