Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
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1132 News Results
A firm settled FINRA charges for failing to supervise the transmittal of customer funds by representatives with power of attorney and for failing to respond to red flags involving unsuitable trading recommendations.
A footwear company settled with the SEC for failing to make required disclosures of related person transactions in its annual reports and proxy statements.
An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.