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.”
Three investment advisers settled separate charges with the SEC after self-reporting certain failures to disclose conflicts of interest that were the focus of the SEC Enforcement Division's Share Class Selection Disclosure Initiative.
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.
In a targeted examination, FINRA is seeking information on the practices of firms that charge zero commission on client trades and "the impact that not charging commissions has or will have on the Firm’s order routing."
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.
The CFPB proposed extending an exemption that allows insured institutions to disclose estimates to consumers of the exchange rate and covered third-party fees when sending international money or remittance transfers.