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.
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FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
The CFTC extended the comment period until April 11, 2024, for its proposed rule ("NPRM") on real-time public reporting requirements and swap data recordkeeping and reporting requirements.