The SEC granted a proposal by FINRA to extend the effective date to establish margin requirements for "to-be-announced" or "TBA" transactions and other forward-settling agency securities transactions.
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In an Investor Bulletin, the SEC and FINRA described the various ways in which a customer may hold securities and warned of the risks associated with crypto assets.
An SEC and FDIC final rule governing the orderly liquidation of "covered broker-dealers" was published in the Federal Register.
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.
The SEC and the FDIC finalized a rule governing the orderly liquidation of "covered broker-dealers."