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FINRA Board approves proposals to strengthen controls on high-risk brokers

12/05/2017(0)
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
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FCA publishes near final rules on MiFID II

03/04/2017(0)
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
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NFA CEO Daniel Roth to retire; Board begins search for successor

24/05/2016(0)
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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