FINRA proposed extending temporary relief to allow firms to satisfy their office and location inspection requirements remotely through the first half of calendar year 2024.
A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.
The National Credit Union Association adopted amendments to regulations on indirect lending and leasing arrangements to members, "the purchase of loan participations and the purchase, sale, and pledge of eligible obligations and other loans."
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
The SEC set an effective date of November 13, 2023 and outlined compliance dates for significant new regulation of private fund advisers under the Advisers Act.