FINRA proposed to delay the implementation of amendments imposing margin requirements on "Covered Agency Transactions" until April 26, 2022.
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The FTC requested comment on a preliminary draft of the agency's Strategic Plan for fiscal years 2022 to 2026.
A registered representative settled FINRA charges for failing to timely file an amended registration Form U4.
New York Governor Kathy Hochul signed into law the Consumer Credit Fairness Act. The Act addresses predatory debt collection practices.
FINRA provided upcoming deadlines for firms to file their Annual Report, FOCUS Reports and other required filings due in 2022 and the first quarter of 2023.