National association of securities dealers (nasd)
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
This webinar on September 17th looks at the challenges of GRC, key trends, motives for improvement, future investments, and obstacles that banks and other financial institutions face in trying to improve and integrate their risk management strategy
More National association of securities dealers (nasd) articles
The Federal Reserve Bank of New York has been shepherding global efforts to improve the over-the-counter derivatives market since 2005 and continues to push dealers to improve in areas such as trans...
All US securities firms will be required to designate a chief compliance officer (CCO) who will, with the chief executive officer (CEO), certify annually that the firm is working toward compliance w...
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.