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Tag: Financial Industry Regulatory Authority (FINRA)
11 women changing the US RegTech industry you need to know...
The US is spearheading the RegTech revolution. So why not find out more about the women leading the charge?
Akemona becomes member of FINRA
Digital securities company Akemona has registered with the US Securities and Exchange Commission (SEC) and is now a member of the Financial Industry Regulatory Authority (FINRA).
The SEC signs amendment to bring “much-needed transparency and accountability to...
US markets regulator Securities and Exchange Commission (SEC) has amended the national market system plan governing the consolidated audit trail, the so-called CAT NMS Plan, to make it more transparent and to boost accountability.
Theta Lake unveils 17a-4 compliant archiving tool for collaboration platforms
From: RegTech Analyst Theta Lake, the RegTech company, has announced the industry’s first free SEC Rule 17a-4 compliant archive designed for collaboration platforms such as RingCentral,...