Tag:
SROs
Latest Headlines
Latest Headlines
CAT would work best if SROs participate
Regulators at the government and SRO levels are under lots of pressure to create a market structure that will allow for the benefits of modern trading, while curbing some of the potential excesses....
Study: Advisory SROs prohibitively expensive
One of the great unanswered financial reform question remains this: Who will oversee the registered investment advisory industry? Three options have emerged: Expanding Finra to provide oversight of
CFTC seeks widespread audits in wake of MF Global
Thanks, MF Global! The commodities industry is not feeling a lot of warmth and fuzziness for the disgraced brokerage firm and its former CEO, Jon Corzine. The CFTC has apparently ordered every
Can the SEC really oversee RIAs?
Forgotten somewhat amid the hubbub over the fiduciary standard proposal from the SEC was a related issue: Whether the SEC has the resources and expertise to oversee the burgeoning registered
