FINRA reorganized its Market Regulation and Transparency Services into distinct functional areas "rather than around specific rules or products."
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SEC Investor Advocate Rick A. Fleming will leave the agency on July 1, 2022.
In a podcast interview, OCC Comptroller Michael J. Hsu highlighted the importance of "inclusion" in the development of a regulatory framework for crypto activities.
In its annual Examination and Risk Monitoring Program Report, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.
In a parting statement, Commissioner Elad L. Roisman praised the SEC staff and said it was a privilege to serve as a "temporary steward" of the SEC and its mission.