News & Insights

5 Results
August 17, 2020

FINRA proposed amendments to the Security Futures Risk Disclosure Statement to reflect recent changes on position limits for security futures contracts, market-wide circuit breaker benchmarks and thresholds, and that exchanges may now list security futures on certain debt instruments.

August 10, 2020
Commentary by Christian Larson

In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.

June 03, 2016

The Cabinet added a comprehensive Research Topic Page. This resource covers a myriad of different regulations that govern research under FINRA, the SEC and the CFTC.