SEC at odds with Finra over Pip data

Agree to disagree


The tangled regulatory web in the US can leave investment professionals feeling that competing authorities could do more to ensure consistency in the approaches they are taking, rather than going in two different directions at the same time.

One case in point concerns the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). Both have developed divergent approaches to the cross-border application of the Dodd-Frank Act, which possibly threatens the prospect

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