FINRA Executive Vice President of Member Supervision Bari Havlik announced she will retire later this year. Greg Ruppert, currently serving as an EVP and leader of FINRA's National Cause and Financial Crimes Detection Program, will succeed Ms. Havlik in the role effective November 1, 2021.
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OFAC authorized all transactions on or after January 21, 2022, related to the Petróleos de Venezuela, S.A. 2020 8.5 Percent Bond that otherwise would be prohibited by Executive Order.
The Congressional Research Service reviewed the potential benefits and risks of data sharing in the context of a potential CFPB rulemaking on consumer-authorized access to financial data.
The SEC Office of Investor Education and Advocacy cautioned investors, specifically those who receive lump sum insurance payouts, on potential investment scams related to Hurricane Ida.
A broker-dealer settled Nasdaq Options Market charges for failing to provide two-sided quotations for the amount of time required to meet the continuous quoting obligation on the ISE Gemini Exchange.