FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
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FinCEN issued an advance notice of proposed rulemaking "on the possibility of FinCEN establishing a "no-action letter process" under the Anti-Money Laundering Act of 2020.
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
A broker-dealer settled SEC charges for (i) the offer and sale of unregistered microcap securities, and (ii) failure to file suspicious activity reports for transactions it executed as agent for one of its offshore customers.
SIFMA expressed concern regarding a FINRA proposal to amend the application of margin requirements to "when issued" and other extended settlement transactions.