BondWave's 2021 Mark-Up Disclosure Rule Checklist
03/05/2021 Corporate Bond Friday Newsletter
As with all new regulation, the initial focus of the regulators was to ensure that firms had a process established. The recent announcement indicates there will now be a deeper analysis of those processes to ensure that they adequately address the Rule. Using the considerations outlined in the FINRA report, we have revisited our Mark-Up Disclosure Rule Checklist to help firms determine whether their current process is sufficient. open website
BondWave nominated for "Best Compliance Solution"
Vote by 05/14/2021 2021 FTF News Technology Innovation Awards
BondWave has been nominated in the 2021 FTF News Technology Innovation Awards for "Best Compliance Solution." The winner will be determined by popular vote, so please take a minute to scroll down to category 6 and vote for BondWave with your work email address. Votes associated with personal emails (e.g. email domains of gmail, aol, yahoo and so on) will not be counted. Vote by 5/14/2021. open website
