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Firm Settles FINRA Charges For Systems Compliance And Integrity Violations - Finance and Banking

An inter-dealer broker settled FINRA charges for non-compliance with SEC Regulation SCI ("Systems Compliance and Integrity") after the broker failed to determine that its alternative trading system was subject to the regulation.

Steven lofchieCommercial honorFirm settles finra charges for systems compliance and integrity violationsCorporate commercial lawFinance and bankingFinancial servicesவணிகரீதியானது மரியாதைபெருநிறுவன வணிகரீதியானது சட்டம்நிதி மற்றும் வங்கிநிதி சேவைகள்

SEC Adopts Rule Imposing Additional FINRA Obligations On Firms With A History Of Misconduct - Finance and Banking

SEC Adopts Rule Imposing Additional FINRA Obligations On Firms With A History Of Misconduct - Finance and Banking
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Caroline crenshawAllison herren leeSteven lofchieRestricted firm obligationsDepartment of member regulationRestricted firmsகரோலின் கிரேன்ஷாவ்அல்லிசன் ஹெரன் லீ

SEC Chair Gary Gensler Directs Staff To Prepare Climate Risk Disclosure Rule - Corporate/Commercial Law

SEC Chair Gary Gensler Directs Staff To Prepare Climate Risk Disclosure Rule - Corporate/Commercial Law
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Gary genslerSteven lofchieResponsible investmentபொறுப்பு முதலீடு

FSB Chair Quarles And Treasury Secretary Yellen Push For Development Of Climate-Related Risk Disclosure - Environment

FSB Chair Quarles And Treasury Secretary Yellen Push For Development Of Climate-Related Risk Disclosure - Environment
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United statesFrance generalRandalk quarlesJanetl yellenSteven lofchieSustainable finance working groupInternational financial reporting standardsVenice international conference on climateTask force on financialInternational climateVenice international conferenceClimate changeFinancial stability boardChair randalTreasury janetFederal reserve

CFTC Officials Debate Agency s Role In Transition To Low-Carbon Economy - Finance and Banking

CFTC Commissioner Dan M. Berkovitz and Acting Chair Rostin Behnam described the CFTC's role in facilitating the transition to a low-carbon economy.

Rostin behnamDanm berkovitzSteven lofchieEnvironmental markets advisory committeeHouse select committeeAdvisory committeeActing chairClimate related market risk subcommitteeClimate riskClimate related market riskClimate risk unitCftc officials debate agency amp 39s role in transition to low carbon economyFinance and bankingCommodities derivatives stock exchangesFinancial servicesவீடு தேர்ந்தெடுக்கவும் குழு