The FTC restored its past practice of requiring merging parties to obtain prior approval from the FTC "before closing any future transaction affecting each relevant market for which a violation was alleged."
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21975 News Results
The Basel Committee on Banking Supervision, the Committee on Payments and Market Infrastructures and IOSCO jointly requested comment on a consultative report, which examines margin calls during the high market volatility of March 2020.
The DOL extended certain enforcement relief under a new temporary policy on prohibited transactions rules applicable to investment advice fiduciaries.
A broker-dealer settled FINRA charges for failing "to establish, maintain, and enforce a supervisory system reasonably designed to supervise mutual fund and cross-product switches."
A broker-dealer settled Cboe BZX, C2 and EDGX charges for origin code violations and related supervisory violations.