Aggregated News From Investment Management Regulators

More than one hundred activities to celebrate today the Sixth Edition of the Financial Education Day throughout Spain under the slogan “Responsible Finance, Finance for All”

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Regulator Information

Regulator Name: Comisión Nacional del Mercado de Valores
Abbreviation: CNMV ES
Jurisdiction: Spain
Website: https://www.cnmv.es/portal/home.aspx?lang=en
Email: [email protected]
More Information

Recent Articles

CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets

CFTC US 0

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Proposed amendments to permit reduced margin for swap position partial offsets held in inventory

IIROC CA 0
Executive Summary IIROC is proposing amendments to the IIROC Rules (Proposed Amendments) that would permit margin reductions for Dealer Member (Dealer) inventory offsets of: non-equivalent...
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FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute

FINRA US 0
Summary FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Secur
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FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification

FINRA US 0
Summary FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases s
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Notice of Annual Meeting of FINRA Firms and Election Proxy

FINRA US 0
Summary FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C.
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