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Financial Regulatory Tracker | Regulations at your fingertips

According to SIFMA "we are entering an unprecedented two- to five-year rulemaking process where roughly 250 new regulations will need to be researched and written by at least a dozen regulatory agencies." Financial Industry Regulatory Authority (FINRA) Bureau of Consumer Financial Protection (CFPB) Commodity Futures Trading Commission (CFTC) Federal Deposit Insurance Corporation (FDIC) Federal Housing…

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Financial Regulatory Tracker | Regulations at your fingertips | theregtracker.wordpress.com Reviews

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According to SIFMA we are entering an unprecedented two- to five-year rulemaking process where roughly 250 new regulations will need to be researched and written by at least a dozen regulatory agencies. Financial Industry Regulatory Authority (FINRA) Bureau of Consumer Financial Protection (CFPB) Commodity Futures Trading Commission (CFTC) Federal Deposit Insurance Corporation (FDIC) Federal Housing…

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Financial Regulatory Tracker | Regulations at your fingertips | theregtracker.wordpress.com Reviews

https://theregtracker.wordpress.com

According to SIFMA "we are entering an unprecedented two- to five-year rulemaking process where roughly 250 new regulations will need to be researched and written by at least a dozen regulatory agencies." Financial Industry Regulatory Authority (FINRA) Bureau of Consumer Financial Protection (CFPB) Commodity Futures Trading Commission (CFTC) Federal Deposit Insurance Corporation (FDIC) Federal Housing…

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theregtracker.wordpress.com

1

FINRA – Obligation to Report | Financial Regulatory Tracker

https://theregtracker.wordpress.com/2011/03/24/finra-obligation-to-report

Regulations at your fingertips. FINRA – Obligation to Report. Effective July 1, 2011. FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530. March 24, 2011. Leave a Reply Cancel reply. Enter your comment here. Fill in your details below or click an icon to log in:. Address never made public). You are commenting using your Twitter account. ( Log Out. Create...

2

Proposed Rule – Position Limits for Derivatives | Financial Regulatory Tracker

https://theregtracker.wordpress.com/2011/03/24/proposed-rule-position-limits-for-derivatives

Regulations at your fingertips. Proposed Rule – Position Limits for Derivatives. Notice of Proposed Rule. The Commission is proposing to simultaneously establish position limits and limit formulas for certain physical commodity futures and option contracts executed pursuant to the rules of designated contract markets (‘ DCM”) and physical commodity swaps that are economically equivalent to such DCM contracts. In compliance with the requirements of the Dodd-Frank Act, the CFTC is also proposing ...CFTC &#...

3

September | 2011 | Financial Regulatory Tracker

https://theregtracker.wordpress.com/2011/09

Regulations at your fingertips. Month: September, 2011. September 8, 2011. Taken from the Frequently Asked Questions. On the FINRA website. 1 I engage in investment banking work that is limited to structuring private securities offerings at my firm. What registration(s) will I need to engage in this activity? You may register as either. An Investment Banking Representative (IB) by passing the Series 79 Exam or as a Private Securities Offerings Representative (PR) by passing the Series 82 Exam. Include pe...

4

FDIC-Proposed Rule Orderly Liquidation | Financial Regulatory Tracker

https://theregtracker.wordpress.com/2011/03/24/fdic-proposed-rule-orderly-liqidation

Regulations at your fingertips. FDIC-Proposed Rule Orderly Liquidation. FDIC Notice of Proposed Rule Making (“NPR”) NPR 56-2011. March 24, 2011. Wall Street Reform and Consumer Protection Act. What is the FDIC. Leave a Reply Cancel reply. Enter your comment here. Fill in your details below or click an icon to log in:. Address never made public). You are commenting using your WordPress.com account. ( Log Out. You are commenting using your Twitter account. ( Log Out. Notify me of new comments via email.

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March | 2011 | Financial Regulatory Tracker

https://theregtracker.wordpress.com/2011/03

Regulations at your fingertips. Month: March, 2011. March 24, 2011. FDIC-Proposed Rule Orderly Liquidation. FDIC Notice of Proposed Rule Making (“NPR”) NPR 56-2011. March 24, 2011. FINRA – Obligation to Report. Effective July 1, 2011. FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530. March 24, 2011. Proposed Rule – Position Limits for Derivatives.

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Financial Regulatory Tracker | Regulations at your fingertips

Regulations at your fingertips. According to SIFMA “we are entering an unprecedented two- to five-year rulemaking process where roughly 250 new regulations will need to be researched and written by at least a dozen regulatory agencies.”. Financial Industry Regulatory Authority (FINRA). Bureau of Consumer Financial Protection (CFPB). Commodity Futures Trading Commission (CFTC). Federal Deposit Insurance Corporation (FDIC). Federal Housing Finance Agency (FHFA). Federal Reserve Board (FRB). As paralegals w...

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