News – Bates Research

FINRA Examines Conflicts of Interest

This week, FINRA sent out a targeted exam letter to certain firms about their compensation practices.

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China Devalues Yuan

On Tuesday of this week, China began systematically lowering the value of the Yuan in relation to the U.S. Dollar.

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SEC Rules on CEO Pay Disclosure

This Wednesday, the SEC approved a rule requiring that public companies disclose the ratio of CEO pay to median employee pay.

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Volatility Returns to China

After a period of relative stability, Chinese equity markets have seen a pickup in volatility again this past week.

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Closing Auction Contingency Plan

We blogged two weeks ago about the NYSE shutdown that halted trading for four hours on Wednesday, July 8th, if the NYSE had been unable to resume trading that day, an important function would have been missed: the closing auction of the day.

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Spotlight on Brazil

Interview with Esdras Vera, Bates Compliance Solutions Global Practice Leader.

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Equity Markets Move

It's been a rough week for equity markets around the globe: on Wednesday the NYSE suspended trading for over four hours, impacting nearly $28 trillion in listed stocks.

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New Guidance on Automated Investment Tools

FINRA and the SEC have provided joint guidance on the use of automated investment tools -- the first time that either regulator has definitively recognized the category of automated investing.

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SEC and FINRA Focus on Elder Investors

On June 10th, in remarks before the 2015 Reuters Wealth Management Summit in New York City, FINRA CEO Richard Ketchum mentioned that the agency is currently drafting guidance for brokers dealing with elder investors.

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Housing Crisis? What Housing Crisis?

The effects of the Great recession are still being felt in the U.S. housing market. How will this impact future consumer spending?

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Page 22 of 30 pages.

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