Monthly Archives:
June 2013


FINRA Zeros in on Social Media Policies

As interest grows in the use of social media ask yourself what measures your firm has adopted to monitor compliance with the firm’s social media policies? This is a growing concern for financial services firms as the regulators start asking … More


ICE shareholders approve the NYSE Euronext takeover

Shareholders of Intercontinental Exchange and NYSE Euronext have approved ICE’s $9.7 billion takeover of the New York Stock Exchange operator.


Changes loom for seven month old short selling rules

Seven month since the curbs on naked credit-default swaps and short selling rules were adopted and applied to bank shares and some government bonds means that currently  short positions above a certain threshold must be reported to supervisors and markets. This may soon be subject … More