The SEC declared effective a new interim fingerprint plan for FINRA. FINRA filed the new plan after retiring its previous processing platform because of technological changes.
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The FDIC Office of Minority and Women Inclusion encouraged banks with 100 or more employees to participate in a "Financial Institution Diversity Self-Assessment."
The House Financial Services Committee considered measures to increase diversity in regulated institutions.
NY Fed President and CEO William Dudley encouraged financial institutions to ensure that incentives are aligned with responsible behavior, and that controls are in place for the early detection of misconduct.
The CFTC provided temporary no-action relief to the wholly owned subsidiary of a futures exchange from certain registration requirements for introducing brokers and the associated persons of introducing brokers.