The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.
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21975 News Results
A broker-dealer settled FINRA charges for failing to adequately supervise and keep records for one of its registered representatives' private securities transactions.
FINRA provided technical guidance to firms impacted by the retirement of the Order Audit Trail System, which will take place on September 1, 2021.
The Congressional Research Service outlined the benefits and drawbacks of imposing additional data collection requirements with respect to cryptocurrency transfers.
OFAC extended the authorization of certain exports of educational services and software from U.S. accredited graduate and undergraduate degree-granting academic institutions (and their contractors) to eligible Iranian students who have been granted non-immigrant visas by the U.S. Department of State, but are not physically present in the U.S. due to COVID-19.