GAO Recommends FINRA Retro Reviews

The U.S. Government Accountability Office recommends that the U.S. Securities and Exchange Commission improve its oversight of the Financial Industry Regulatory Authority by encouraging FINRA to conduct retrospective reviews of its rules to help determine which are effective and which should be repealed or modified if they are not.

  • 30 May 2012
The U.S. Government Accountability Office recommends that the U.S. Securities and Exchange Commission improve its oversight of the Financial Industry Regulatory Authority by encouraging FINRA to conduct retrospective reviews of its rules to help determine which are effective and which should be repealed or modified if they are ...

Please take a trial or subscribe to access this content.

Contact our subscriptions team to discuss your access: subs@globalcapital.com

Corporate access

To discuss GlobalCapital access for your entire department or company please contact our subscriptions sales team at: subs@globalcapital.com or find out more online here.

GlobalCapital European securitization league table

Rank Lead Manager/Arranger Total Volume $m No. of Deals Share % by Volume
1 Bank of America Merrill Lynch (BAML) 3,319 10 12.84
2 Citi 2,562 6 9.92
3 Goldman Sachs 2,150 3 8.32
4 Credit Suisse 1,822 6 7.05
5 Societe Generale 1,814 4 7.02

Bookrunners of Global Structured Finance

Rank Lead Manager Amount $m No of issues Share %
  • Last updated
  • 22 May 2017
1 Citi 41,255.30 117 12.99%
2 Bank of America Merrill Lynch 37,631.92 109 11.85%
3 Wells Fargo Securities 32,082.26 89 10.11%
4 JPMorgan 20,969.41 64 6.60%
5 Credit Suisse 16,754.47 44 5.28%