A broker-dealer settled FINRA charges for failing to supervise one of its former registered representatives, who allowed her then-husband to engage in securities business with the broker-dealer's customers.
The CFTC Division of Swap Dealer and Intermediary Oversight extended temporary no-action relief from July 23, 2020 to September 30, 2020 to principals and associated persons from rules requiring a fingerprint card when registering with the Commission.
A CFTC final rule aimed at preventing certain bad actors from seeking exemptions from registration as CPOs under CFTC Rule 4.13 ("Exemption from Registration as a Commodity Pool Operator") was published in the Federal Register.
A broker-dealer settled FINRA charges for failing to amend its Form 4 Registration and Transfer Application and failing to maintain a supervisory system designed to ensure timely disclosure of reportable events.
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.”