Live Breaking News & Updates on Regulatory Policy Group
Stay updated with breaking news from Regulatory policy group. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
Join Tannenbaum Helpern for our 2023 Alternative Investments Outlook program. This year’s event will examine the current regulatory landscape for Registered Investment Advisors,. ....
By Nelson Mullins issued the following announcement on May 17. Brandon Neuman, partner in Nelson Mullins Raleigh office, has been elected to the Advisory Board at the University of North Carolina s (UNC) Center for Banking and Finance at the UNC School of Law. The Board of Advisors provide leadership for the Center of Banking and Finance through representation of a financial institution, law firm, or other organization involved in banking and finance. Holding this title, Neuman will serve as an ambassador for the center providing guidance for its services to the legal and industry community supporting banking and finance. Neuman focuses his practice on advising banks and other businesses on complex issues, ranging from strategic and risk management advice, crises management, regulatory and internal investigations, and high-stakes litigation. ....
12/15/2020 | Press release | Distributed by Public on 12/15/2020 12:07 FINRA Appoints Scott W. Anderson as Head of Market Regulation and Transparency Services WASHINGTON-FINRA announced today that it has appointed Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services. Anderson began his career at NASD, FINRA s predecessor organization, and has 25 years of experience working on complex legal and compliance matters relating to the regulation of securities markets. He will join FINRA on Jan. 25, report to President and CEO Robert W. Cook and serve on FINRA s Management Committee. Scott brings to this critical role broad leadership experience and a deep understanding of today s complex securities markets, and we are excited to welcome him back to FINRA, Cook said. The Market Regulation and Transparency Services Department is vital to FINRA s mission of protecting investors and ensuring the integrity of the securities marke ....
FINRA Appoints Scott W. Anderson As Head Of Market Regulation And Transparency Services Date 15/12/2020 FINRA announced today that it has appointed Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services. Anderson began his career at NASD, FINRA’s predecessor organization, and has 25 years of experience working on complex legal and compliance matters relating to the regulation of securities markets. He will join FINRA on Jan. 25, report to President and CEO Robert W. Cook and serve on FINRA’s Management Committee. “Scott brings to this critical role broad leadership experience and a deep understanding of today’s complex securities markets, and we are excited to welcome him back to FINRA,” Cook said. “The Market Regulation and Transparency Services Department is vital to FINRA’s mission of protecting investors and ensuring the integrity of the securities markets, so that everyone can participate in the ....