Page 2 - Compliance Engine News Today

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry Regulatory...

SRO renews Maureen Jensen's board term for three years

/PRNewswire/ -- When seeking Central Station Monitoring services for Fire Alarm or Fire Sprinkler System supervision its important to find a contractor...

<p><span>Good afternoon. I’m pleased to be back for what I’m told is the fifth time speaking before the International Swaps and Derivatives Association (ISDA). As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff.</span></p>

The company posted record revenue, yet the stock price fell in April

On December 14, 2022, the Securities and Exchange Commission (the SEC or Commission) proposed Regulation Best Execution (Proposed Reg Best Ex), which would establish through Commission...

/PRNewswire/ -- The Veterinary Cooperative has partnered with GlobalVetLink to add the GlobalVetLink Compliance Assistant to their veterinary practices...

/PRNewswire/ -- Fire Sprinkler Inspection guidelines will have variations whether you need an NFPA 25 Test, a Title 19 Test or a Regulation 4 Sprinkler Test....

/PRNewswire/ -- Fire Sprinkler Inspection guidelines will have variations whether you need an NFPA 25 Test, a Title 19 Test or a Regulation 4 Sprinkler Test....

<p><span>Thank you. It’s good to be here for the eighth annual U.S. Treasury Market Conference. Thank you to the conference organizers and my colleagues across the Inter-Agency Working Group on Treasury Market Surveillance (IAWG) for putting it together and issuing the latest IAWG report.</span></p>