The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
News & Insights
A non-U.S. bank and its New York State branch settled separate charges with the Federal Reserve Board and the New York Department of Financial Services for unauthorized disclosure of confidential supervisory information and anti-money laundering and related violations.
A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.
The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
FINRA summarized oversight findings drawn between 2021and 2023 by its Member Supervision, Market Regulation and Enforcement programs.