FINRA proposed to delay, from October 26, 2021 to January 26, 2022, the implementation of amendments imposing margin requirements on "Covered Agency Transactions."

A London-based bank settled potential civil liability with OFAC for alleged violations of the now-rescinded sanctions program that banned U.S. exports of any goods, technology, or services to Sudan.

NFA proposed amendments to its branch office interpretative notice that would modify the definition of "branch office" to exclude certain locations that are a part of a hybrid work-from-home environment.

NFA proposed (i) an interpretive notice to clarify swap dealer reporting requirements with respect to initial margin model performance and (ii) the imposition of a late fee of $1,000 per business day if filings, including those related to initial margin model performance, are late.

An Arkansas-based broker-dealer, often serving as an underwriter, and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.