The CFTC Division of Clearing and Risk granted relief to a derivatives clearing organization to permit the holding of customer funds at the Banque de France.
News & Insights
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
A broker settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
The Office of Financial Research launched the Joint Analysis Data Environment platform to help the Financial Stability Oversight Council assess financial stability risks.
On July 3, 2023, the SEC's relief for broker-dealers from investment adviser regulation in connection with the provision of research to EU investment managers expired. SEC Commissioner Mark T. Uyeda urged the SEC to engage in a "holistic review of the regulatory framework for investment research."