A FINRA proposal to delay the implementation of amendments imposing margin requirements on "Covered Agency Transactions" under FINRA Rule 4210 was published in the Federal Register. Comments on the delay may be submitted until October 5, 2021.
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President Joseph R. Biden will nominate CFTC Commissioner Rostin Behnam to serve as the new CFTC Chair. He also named new nominees to serve as Commissioners on the CFTC and FTC.
A broker-dealer settled FINRA charges for failing to qualify and register two associated individuals who supervised customer securities trading activity.
A firm settled FINRA, NYSE American, Nasdaq ISE, Nasdaq Phlx and Cboe Exchange charges for supervisory failures in connection with the Exchange Act's ban on tendering more shares in a partial tender offer than are owned by an individual.
An FTC final rule amending the Commission's requirements for entities using information from customer reports for unsolicited credit or insurance advertising was published in the Federal Register.