News

FINRA, Regulators Focus on Liquidity Requirements

By Lorie Konish
Published June 20 2012 Financial Planning 

In the puzzle of oncoming financial regulation, how to properly oversee firm’s liquidity is one of the largest pieces regulators are now working to get right.

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Call Made for a Bigger Wall on Street

By Jean Eaglesham
Published June 03 2012 Wall Street Journal

A Wall Street regulator is pushing to extend conflict-of-interest curbs to include analysts and investment bankers who work in the giant market for debt offerings.

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Two Top Lawyers at Wall Street Watchdog Departing

By Ashley Lau and Suzanne Barlyn
May 7, 2012 Reuters

Two top legal advisers at Wall Street's self-watchdog, the Financial Industry Regulatory Authority, are departing, according to people familiar with the matter.

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Derivatives Industry Seeks clarity Over SEC Market-wide Circuit-breaker Proposals

By Hannah Collins
Published October 17 2011 Risk Magazine

If new circuit-breaker proposals filed by US national securities exchanges and the Financial Industry Regulatory Authority (Finra) are approved by the US Securities and Exchange Commission (SEC), they will replace those adopted in October 1998.

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Self-Regulatory Group May Gain Power in House Plan

By Ben Protess
Published September 12 2011 DealBook

Lawmakers on Capitol Hill are weighing plans to outsource the government’s authority over Wall Street, aiming to shift some power from the Securities and Exchange Commission to groups backed by the financial industry.

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