The TRADE

APRIL 3, 2024

Examples of financial instruments which could be issued and traded in the DSS include equities, corporate and government bonds, and money market instruments. Derivative contracts based on those securities can also be written, with those activities still being required to comply with the regulations that govern them.

Securities 69

Securities Bank Banking Financial Market 69

Wall Street Mojo

JANUARY 18, 2024

They come at a low risk, with some being insured by government bodies. Negotiable – Some CDs are negotiable, i.e. they can be sold in the secondary market Secondary Market A secondary market is a platform where investors can easily buy or sell securities once issued by the original issuer, be it a bank, corporation, or government entity.

Financial Institution 52

Financial Institution Accountant Bank Banking 52

The TRADE

AUGUST 21, 2023

As one of the four pillars of the SEC’s proposals, the new rule would establish a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers and municipal securities dealers. “If adopted, [Regulation Best Execution] would help ensure that brokers have policies and procedures in place to (..)

Equities 52

Equities Retail Trading Broker 52

The TRADE

APRIL 30, 2024

The regulation also introduced stricter rules on investor protection and product governance, particularly through mandating more rigorous suitability and appropriateness assessments, to ensure that financial products and services are aligned with investors’ needs and risk profiles.

Financial Institution 69

Financial Institution Financial Market Risk Management Banking 69