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FINRA disciplinary action update 2025/36
Disciplinary decisions issued September 27 – 3 October, 2025.
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FINRA disciplinary action update 2025/35
Disciplinary decisions issued September 20 – 26, 2025.
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FCA examines UK EMIR Refit compliance
Inadequate resource planning and dependence on external vendors highlighted in Market Watch 84 as key challenges for firms one year after the implementation of the new regime.
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FINRA to revise day trading to attract more retail investors
Going to the SEC for approval are also proposals for revised corporate financing rules, outside activities requirements, and an increase to the gift limit.
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FINRA disciplinary action update 2025/34
Disciplinary decisions issued September 13 – 19, 2025.
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Opinion: IFRS Foundation funding concerns central to Atkins’s OECD remarks
A closer reading of the Chair’s comments in the speech shows, as a primary focus, explicit and very prosaic concerns about the IFRS Foundation’s long-term solvency and stability.
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BaFin calls contingency planning and stress testing critical
The regulator’s supervisory statement seeks to clarify its expectations of brokers in connection with client securities trading during times of market turbulence.
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FINRA disciplinary action update 2025/34
Disciplinary decisions issued September 20 – 26, 2025.