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  • ..._Final_Rule:_Securities_Whistleblower_Incentives_and_Protections final SEC whistleblower rules]. Among other things, Noller explains what companies should prepare f ...ey.com/publications/pub_detail.aspx?pubid=8205 SEC Issues Final Dodd-Frank Whistleblower Rules]
    3 KB (411 words) - 22:25, 10 January 2022
  • ...grams. He also played a key role in the creation of FINRA’s Office of the Whistleblower and its Office of Fraud Detection and Market Intelligence, and led the deve ...dent in the Office of Disciplinary Policy and was named head of the Market Regulation Department in 1999. Before that, he was the chief of staff to then-CFTC Cha
    4 KB (574 words) - 20:43, 7 June 2019
  • ...rities_Whistleblower_Incentives_and_Protections SEC Final Rule: Securities Whistleblower Incentives and Protections]</div> ...lements of the member firm oversight components of New York Stock Exchange Regulation to create [[FINRA]].<ref>{{cite web|name=About FINRA, Mary L. Schapiro|url=
    8 KB (1,167 words) - 23:52, 1 August 2019
  • ...etsreformwiki.com/mktreformwiki/index.php/Hedge_Fund_Regulation Hedge Fund Regulation]</div> ...i/index.php/Commodity_Trading_Advisor_Regulation Commodity Trading Advisor Regulation]</div>
    11 KB (1,452 words) - 00:02, 2 August 2019
  • ...wash trading, made misleading statements and sought retribution against a whistleblower seeking to expose the misconduct." Coinsquare Founder and Managing Director [[Category: regulation]]
    10 KB (1,298 words) - 16:18, 27 July 2021
  • ...ity of bitcoin and altcoin prices were due, in part at least, to a lack of regulation.<ref>{{cite web|url=https://papers.ssrn.com/sol3/papers.cfm?abstract_id=240 *Whistleblower Office, Lee Martin (Director)
    13 KB (1,813 words) - 18:20, 19 July 2021
  • ...//www.marketsreformwiki.com/mktreformwiki/index.php/Swaps_Regulation swaps regulation page on MarketsReformWiki]. ==CFTC Hearings and Testimony Related to Swaps Regulation==
    38 KB (5,621 words) - 09:37, 7 March 2012