Comments on a Treasury Department Office of Financial Research proposal to require certain institutions to submit daily reports on outstanding non-centrally cleared bilateral repurchase agreement transactions are due by March 10, 2023.
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The U.S. Treasury Department Office of Financial Research proposed requiring certain broker-dealers, government securities broker-dealers (including banks), other financial companies and investment advisers to submit daily trade and collateral information on their outstanding non-centrally cleared bilateral repurchase agreement transactions.
A FINRA-registered representative settled charges for suitability rule violations.
IOSCO adopted guidance on mitigating conflicts of interest and conduct risks for market intermediaries in debt capital market transactions.
The CFPB charged the largest debt collectors in the United States with violations of the Consumer Financial Protection Act and the Fair Debt Collection Practices Act.