The Treasury Department issued an interim final rule that "establishes a fee for parties filing a formal written notice of a transaction for review by the Committee on Foreign Investment in the United States.”
NFA notified members that it would not pursue disciplinary actions if a firm allows associated persons to temporarily work from home under business contingency plans, provided that the firm institutes adequate supervisory methods and meets its recordkeeping requirements.
A CFTC proposal to apply federal speculative position limits to 25 "core referenced futures contracts" - including futures and options linked to those contracts and economically equivalent swaps - was published in the Federal Register.
The Congressional Research Service provided an overview of the current authority of the Committee on Foreign Investment in the United States following the recent implementation of the Foreign Investment Risk Review Modernization Act.
In a 3-2 vote, the CFTC proposed applying federal speculative position limits to 25 "core referenced futures contracts," including futures and options linked to those contracts and economically equivalent swaps.
A broker-dealer settled FINRA charges for the firm's failure to fulfill its supervisory and inspection requirements, including oversight of electronic communications, outside business activities, and the firm's branch offices.
The American Banking Association, SIFMA and the Institute of International Bankers proposed revisions to a Federal Reserve Board proposal to modify its regulations for determining "whether a company has the ability to exercise a controlling influence" on another company.