The CFTC Division of Clearing and Risk granted relief to a derivatives clearing organization to permit the holding of customer funds at the Banque de France.
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FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
The CFTC Market Participants Division granted no-action relief to a futures commission merchant regarding the manner in which it receives and holds funds deposited by Taiwan-based customers, when there may be a conflict between CFTC and Taiwan regulation governing the segregation of customer funds.
A firm settled separate charges with FINRA and Nasdaq for surveillance failures over potentially manipulative trading by a customer subject to heightened supervision.
An online broker-dealer settled charges with NYSE Arca for failing to timely process a reverse stock split causing customers to trade using inaccurate information.