An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
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The Board of Governors of the Federal Reserve adopted new operational risk management requirements for systemically important designated clearing organizations.
In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.
A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
The MSRB established the 2024 criteria for designating participants for the next mandatory functional and performance testing of business continuity and disaster recovery plans.