Multiple regulatory agencies published semiannual agendas that include rules the agencies are currently considering to propose or promulgate.
Several regulatory agencies published semiannual agendas in the Federal Register. The agendas include rules that the agencies intend to propose or promulgate over the course of the next year.
FINRA is adding a new "Problem Code," amending various reporting requirements and revising forms to address the June 9, 2017 implementation of certain aspects of the DOL Fiduciary Rule.
FINRA reminded firms of their obligation to supervise sales of pension income stream products by their associated persons.