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STA Washington DC Spring Update: Key Congressional and Regulatory Leaders to Discuss Critical Market Structure Issues

By Jim Toes, President & CEO, STA

Len-amoruso
Giang-bui
Eric-pollackov
Brittany-pettersen
Markt-uyeda
Davis-wright-tremaine
Williams-jensen
Joel-oswald
Greg-ruppert
House-financial-services-committee
Us-exchange-traded-products-at-nasdaq
Member-services

Opening Statement Of CFTC Commissioner Kristin N. Johnson BeforeTthe Market Risk Advisory Committee Meeting

<p>Introduction</p> <p>Good morning and welcome to the first meeting of the Market Risk Advisory Committee (MRAC) in 2023 and our second MRAC meeting under my sponsorship.</p>

New-york
United-states
United-kingdom
Dublin
Ireland
Chicago
Illinois
London
City-of
Americans
Hayden-adams
Suyash-paliwal

TECH TUESDAY: Monitoring for Manipulative Trading Comes to the Fore

FINRA report underscores importance of getting surveillance systems and processes right.

Greg-ruppert
Gary-gensler
Gibson-dunn
Exchange-commission
Risk-monitoring-program
Financial-industry-regulatory-authority
Financial-conduct-authority
Coalition-greenwich
Nasdaq
Member-supervision

FinCEN Proposes Form Of Report To Collect Beneficial Ownership Information And Application To Obtain FinCEN Identifiers - Financial Services

On January 10, FINRA published its 2023 Report on FINRA's Examination and Risk Monitoring Program.

Greg-ruppert
Regulatory-affairs
Office-of-the-inspector
Risk-monitoring-program
Financial-industry-regulatory-authority
Exchange-act-rule
Federal-reserve
Exchange-commission
Office-of-information
Protection-bureau
Financial-crimes-enforcement-network
Proposes-form

FinCEN Proposes Form of Report to Collect Beneficial Ownership Information and Application to Obtain FinCEN Identifiers | Goodwin

Regulatory Developments - FinCEN Proposes Form of Report to Collect Beneficial Ownership Information and Application to Obtain FinCEN Identifiers - On.

Greg-ruppert
Regulatory-affairs
Office-of-the-inspector
Risk-monitoring-program
Financial-industry-regulatory-authority
Exchange-act-rule
Federal-reserve
Exchange-commission
Consumer-financial-protection-bureau
Office-of-information
Office-of-the-comptroller
Financial-crimes-enforcement-network

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