In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
News & Insights
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
IOSCO determined that further analysis of "Loan Funds" is not warranted at this stage, since regulators believe their current general rules for this "so-called 'shadow banking activity,'" address systemic risks sufficiently.
Treasury Secretary Jacob Lew testified that "the financial system [is] safer, more resilient, and supportive of long-term economic growth" as a result of the creation of the Financial Stability Oversight Council.
FINRA proposed rule amendments to provide market participants with a daily final trade price for each over-the-counter transaction in exchange-traded managed fund shares as reported to the FINRA/Nasdaq Trade Reporting Facility.