The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA’s ongoing initiative to strengthen controls on brokers with a history of significant past misconduct ... Read More
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation The Financial Conduct Authority (FCA) has today published near final rules ... Read More
NFA announced today that President and CEO Daniel Roth has announced his plan to retire in the coming year. NFA’s Board of Directors has authorized the formation of a ... Read More
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