Wiley FINRA Series 4 Exam Review 2017: The Registered Options Principal...
The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a...
View ArticleWiley FINRA Series 6 Exam Review 2017: The Investment Company and Variable...
Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial...
View ArticleWiley FINRA Series 24 Exam Review 2017: The General Securities Principal...
Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its...
View ArticleBanking Systems Simulation: Theory, Practice, and Application of Modeling...
Presents information sources and methodologies for modeling and simulating banking system stabilityread more...
View ArticleOCC Congratulates Clayton On Confirmation As SEC Chairman, Looks Forward To...
OCC, the world’s largest equity derivatives clearing organization, today congratulated Jay Clayton upon his confirmation by the U.S. Senate as Chairman of the U.S. Securities and Exchange Commission...
View ArticleSIFMA Statement On Confirmation Of SEC Chairman Clayton
SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Senate confirmation of Jay Clayton as Chairman of the U.S. Securities and Exchange Commission...
View ArticleDalian Commodity Exchange: Deepened Services Provide Petrochemical Industry...
On April 20, sponsored by China Petroleum and Chemical Industry Federation (CPCIF), the 2017 Petrochemical Industry Development Conference was held in Dalian. At the conference, Jiang Wei, director of...
View ArticleFINRA Statement On Confirmation Of Walter J. "Jay" Clayton III As...
The Financial Industry Regulatory Authority (FINRA) today issued the following statement on the confirmation of Walter J. “Jay” Clayton III as Chairman of the Securities and Exchange Commission.read...
View ArticleDTCC Repo Clearing Services Gain Regulatory Approval
The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that the Securities and Exchange...
View ArticleASIC Supports Second-Phase Extension Of Groundbreaking Whistleblower Research...
ASIC has welcomed and strongly endorsed today's announcement of the second stage of the ground breaking research project 'Whistle While They Work', which will lead to a strong information base to...
View ArticleNZX: Initial Disclosure Of Senior Managers' Relevant Interests
Please see attached the Senior Manager Disclosure Notices for Hamish Macdonald and Benjamin Phillips.read more...
View ArticleCommcise Opens Office In Bangalore - MIFID II Transparency Requirements And...
Commcise, the award-winning provider of integrated commission management, research evaluation and reporting solutions for investment management firms, today announced the opening of an office in...
View ArticleLjubljana Stock Exchange: Monthly Statistical Report April 2017
Click here to download comprehensive monthly statistics of the Ljubljana Stock Exchange for April 2017.
View ArticleIpreo Appoints New Head Of Market Structure
Ipreo, a leading global provider of workflow solutions and market intelligence to financial services and corporate professionals, announced that it has hired Stephen Grady as Managing Director, Head of...
View ArticleMoscow Exchange Trading Volumes In April 2017
In April 2017, total trading volumes across Moscow Exchange's markets amounted to RUB 70.9 trln.read more...
View ArticleTMX Group Consolidated Trading Statistics - April 2017
TMX Group Limited today announced April 2017 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), Montréal Exchange (MX) and NGX.read more...
View ArticleOil, 2nd Edition
Oil pulses through our daily lives. It is the plastic we touch, the food we eat, and the way we move. Oil politics in the twentieth century was about the management of abundance, state power, and...
View ArticleUS Treasury Secretary Mnuchin Announces Intention To Appoint First Deputy...
U.S. Treasury Secretary Steven T. Mnuchin today announced his intention to appoint Keith Noreika as a Deputy Comptroller and designate him the First Deputy Comptroller of the Office of the Comptroller...
View ArticleClik here to view.
Web Annotation Adds Good Layers
We’re in San Francisco this week for I Annotate 2017 along with a couple hundred of our closest friends. Two years ago, SSRN joined a team of coalition members that recognized a need to annotate...
View ArticleReadout From A US Treasury Spokesperson On Secretary Mnuchin’s And...
Earlier today, U.S. Treasury Secretary Steven T. Mnuchin and U.S. Commerce Secretary Wilbur Ross held a phone conversation with Vice Premier Wang Yang of China. Treasury Secretary Mnuchin, Commerce...
View Article