FINRA reminded municipal advisors of their supervisory obligations when holding or transacting in certain customer accounts and engaging in certain investment-related activities.
Regulation Best Interest significantly expands the obligations that broker-dealers owe to retail investors. To assist in navigating these new requirements, the Cabinet produced four new Retail Best Interest Topic Pages.
The operator of a binary options trading firm agreed to settle CFTC charges for engaging in off-exchange options trading without being properly registered as a futures commission merchant.
Regulation Best Interest significantly expands the obligations that broker-dealers owe to retail investors. To assist in navigating these new requirements, the Cabinet produced four new Retail Best Interest Topic Pages.
The SEC Division of Corporation Finance granted no-action relief from provisions of the Securities Act in order to simplify the usage of purchased units of value on online gaming platforms.
A CFTC supplemental rule proposal was published in the Federal Register which would permit low-risk derivatives clearing organizations that are exempt from registration to offer clearing to U.S. persons under certain circumstances.
The SEC and the North American Securities Administrators Association provided guidance for market participants on the application of federal and state securities laws to opportunity zone investments.
