A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
News & Insights
At the National Grain and Feed Association Convention, CFTC Chair Rostin Behnam reported that the 2023 Farm Bill is being designed to strengthen the resilience, accessibility and cost-effectiveness of the derivatives markets to respond to agricultural market developments.
The CFTC Market Participants Division granted relief to extend the timeframe for a limited-purpose swap dealer to file certain financial reports.
A dually-registered broker-dealer and investment adviser settled SEC charges for providing unsuitable recommendation on complex variable interest rate structured products to investors nearing retirement age.
A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.