The SEC's reopened comment period for a 2015 proposal that would establish listing standards for clawback policies of erroneously awarded compensation was published in the Federal Register.
News & Insights
21975 News Results
At DC Fintech Week, SEC Chair Gary Gensler raised concerns about how financial technology, specifically machine learning, artificial intelligence, and crypto, disrupts traditional business models.
In a joint statement, the Federal Reserve Board, the CFPB, the FDIC, the National Credit Union Administration and the OCC, as well as state bank and credit union regulators, emphasized the importance of continued progress in transitioning away from LIBOR.
SEC Commissioner Elad L. Roisman reviewed the existing SEC regulatory frameworks for the handling of retail orders - including payment for order flow, best execution, execution quality measurements and public price discovery - and suggested potential improvements.
A broker-dealer settled FINRA charges for violating rules on prohibited conditions relating to the expungement of customer disputes.