The OCC, the Federal Reserve Board and the FDIC proposed long-term debt requirements for large banking entities, holding companies, foreign banking organizations and large insured depository institutions to facilitate resolvability in the event of failure and to reduce the risk of contagion within the financial system.
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An Australia-based investment management company settled CFTC charges for exceeding position limits in platinum futures.
A market-maker settled charges with NYSE American and NYSE Arca for exceeding its applicable position limits in securities trading.
The SEC Division of Investment Management issued guidance on the use of fee waiver and expense reimbursement arrangements that result in differing advisory fees for different share classes of the same fund.
The CFTC Division of Market Oversight extended no-action relief from aggregation requirements under the current CFTC position limits rule.