Saturday August 27, 2016

Recent News

SEC Offers Advice on Brokers’ Handling of Collateral Posted as Margin for Swaps

The SEC’s Division of Trading and Markets has written to FINRA to clarify when a broker-dealer must deduct from net worth under the net capital rule the collateral it posts as margin for cleared and

SEC Approves FINRA’s Capital Acquisition Broker Rules

The SEC has issued an order approving a new set of rules drafted by the Financial Industry Regulatory Authority, Inc. (FINRA) to apply solely to firms that meet the definition of "capital acquisition

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