The SEC declared effective a new interim fingerprint plan for FINRA. FINRA filed the new plan after retiring its previous processing platform because of technological changes.
News & Insights
8 News Results
The CFTC provided temporary no-action relief to the wholly owned subsidiary of a futures exchange from certain registration requirements for introducing brokers and the associated persons of introducing brokers.
The National Futures Association proposed amendments to its registration rule on certifications, acknowledgements, agreements and representations.
IOSCO requested public comment on the findings of a new report that surveyed the approaches and practices of regulators concerning incentives for order routing and execution.
FINRA summarized its latest notices, compliance resources and news in its April 2016 monthly podcast.