The SEC permitted an associated person, who had been subject to statutory disqualification, to effect security-based swaps after he had (i) paid a penalty, (ii) completed a number of remedial requirements and (iii) maintained a clean record.
News & Insights
1120 News Results
The OCC, FRB and FDIC requested comment on a set of rules as part of a process to identify "outdated" or "unnecessary" regulatory requirements on insured depository institutions and their holding companies.
The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
A broker-dealer that sells mutual funds and variable products settled charges with FINRA for failing to supervise the outside business activities of its registered representatives.
The CFPB reviewed federal student loan servicing practices since required repayments have resumed.