Category: Investment News

15 transformational events: Finra brings all brokers under one roof

June 23rd, 2013 in 2013, Investment News, Newsmakers, School of Law, Tamar Frankel 0 comments

frankel-2010Investment News
Tamar Frankel, School of Law

The creation of the Financial Industry Regulatory Authority Inc. in 2007 brought all brokers under the same regulatory roof, achieving a breakthrough for market self-policing…

Expert quote:

“It is built on its membership. Whenever brokers really care [about an issue], and Finra goes against them, they will trump Finra.”

View full article

Proposal to merge SEC, CFTC will go belly up: Washington insiders

December 1st, 2012 in 2012, Centers & Institutes in the News, Cornelius Hurley, Investment News, Newsmakers, School of Law 0 comments

hurley11-150x150Investment News
Cornelius Hurley, School of Law, Center for Finance, Law & Policy

A proposal to combine two top financial regulators will have to overcome jurisdictional battles on Capitol Hill — one of Washington’s timeless sticking points — if it’s to become a big issue next year…

View article