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Searching Content indexed under Financial Services by Tiffany Smith ordered by Published Date Descending.
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FINRA Requests Comment on Proposed New Outside Business Activities Rule
FINRA requests comment on all aspects of the proposal, and specifically requests comment on the issues listed in Appendix A.
United States
4 Apr 2018
2
US Department Of The Treasury: A Financial System That Creates Economic OpportunitiesóCapital Markets
In October 2017, the US Department of the Treasury (Treasury) published a report titled "A Financial System That Creates Economic Opportunities" (Treasury Report).
United States
30 Nov 2017
3
Knight Capital Settles Rule 15c3-5 Violations With SEC, Agrees To Pay $12 Million
On October 16, 2013, Knight Capital Americas LLC (Knight Capital) agreed to pay $12 million to settle charges brought by the Securities and Exchange Commission (SEC) alleging that the firm violated Rule 15c3-5 (the Market Access Rule or Rule) under the Securities Exchange Act of 1934
United States
24 Oct 2013
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