FINRA set September 1, 2021 as the effective date for the elimination of the Order Audit Trail System rules.
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In comments on FINRA's proposed amendments to rules governing margin on "To Be Announced" and other "Covered Agency Transactions," SIFMA, SIFMA's Asset Management Group and the Bond Dealers of America addressed the cost, competitive impact and implementation timing of the proposal.
OFAC issued three general licenses authorizing through June 17, 2022 certain activities with Syria, Venezuela and Iran in response to the COVID-19 pandemic.
A firm settled FINRA charges for failing to implement a supervisory system to ensure that firm employees' outside brokerage accounts were timely and sufficiently monitored.
U.S. House Financial Services Committee Chair Maxine Waters set up a Digital Assets Working Group made up of Democratic Members to develop "legislation and policy solutions" on issues emerging in the digital asset space.