Our US Broker-Dealer and Market Regulation Library consists of publications on trends and developments in broker-dealer and market regulation.
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Shearman & Sterling LLP | Libraries | US Broker-Dealer and Market Regulation Library | brokerdealer.shearman.com Reviews
https://brokerdealer.shearman.com
Our US Broker-Dealer and Market Regulation Library consists of publications on trends and developments in broker-dealer and market regulation.
brokerdealer.shearman.com
Shearman & Sterling LLP | Libraries | US Broker-Dealer and Market Regulation Library | Site Map
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Barnabas W.B. Reynolds. Russell D. Sacks. Donna M. Parisi. Nathan J. Greene. Shearman and Sterling 2016 Attorney Advertising. These publications are only intended to be a general discussion of the topics covered and should not be construed as legal advice. We would be pleased to provide additional details or advice about specific situations.
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Shearman & Sterling LLP | Bank Regulatory Library
http://bankreg.shearman.com/home
Conduct of Business (including MiFID). Corporate Reorganizations, Acquisitions and Disposals. Eurozone and Sovereign Debt. Exchange, Clearing and Settlement. Recovery, Resolution and Insolvency. UK Serious Fraud Office Secures its Second DPA. Brexit: Continuity of Current Arrangements for Banks and Investment Bank. MiFID II: Access to EU Markets for Third Country Investment Firms. Brexit: Options for and Impact of the Possible Alternatives to EU Membership. Update on Third Country Equivalence Under EMIR.
Shearman & Sterling LLP | Bank Regulatory Library | Site Map
http://bankreg.shearman.com/sitemap
Shearman and Sterling 2016 Attorney Advertising. These publications are only intended to be a general discussion of the topics covered and should not be construed as legal advice. We would be pleased to provide additional details or advice about specific situations.
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Shearman & Sterling LLP | Libraries | US Broker-Dealer and Market Regulation Library
Barnabas W.B. Reynolds. Russell D. Sacks. Donna M. Parisi. Nathan J. Greene. Alternative Trading Systems (ATS). Broker/Dealer Registration and Formation. Communication with the Public. Information Barrier and Control. Know Your Customer (KYC). FINRA Capital Acquisition Broker Proposal Approved. FINRA Proposes Revisions to Gifts, Gratuities and NonCash Compensation Rules. FinCEN Issues Final Beneficial Owner Identification Rules. FINRA Proposes Revisions to Fixed-Income Research Rule. SEC Approves Amendme...
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Brought to you by ACI. Broker Dealer Accounting Standards. Broker Dealer Accounting Standards. Broker Dealer Accounting Services. Every broker dealer needs a financial operations principal or Fin-Op to ensure that appropriate broker dealer accounting filings are made to the Financial Industry Regulatory Authority or FINRA. The FINOP must have the Series 27 license or Series 28 for Introducing Broker Dealers in order to be able to sign off on broker dealer accounting financials such as focus reports.
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How to File a Complaint/Dispute. How to File a Complaint/Dispute. Since 2008, the BDC has been the global watchdog regulator in monitor Commodity, Currency, and other Investment Class Dealers to protect investors against fraud. Broker Dealer Compliance Actions. The BDC warns against the following Financial Dealers after receiving complaints (updated as of 15 February, 2017):. FX Clearing Group Inc. Featured Notice - December 2016. Read More on Finance Magnates. Read More on Forex Peace Army. Within a per...
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