SEC Commissioner Caroline A. Crenshaw recommended additional regulation on the fixed income and options markets.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
The CFTC simultaneously filed and settled charges with a bank for failing to create, maintain and promptly produce required confirmations for a significant number of "Exchange for Related Position" trades.