In a Treasury hosted U.S. Financial Sector Innovation Policy Roundtable, policymakers, regulators and private sector experts discussed how innovations can eliminate redundancies, reduce costs, combat illicit use and promote financial inclusion.
News & Insights
FINRA reminded firms to strengthen their policies and procedures concerning detection, monitoring and reporting of potentially fraudulent low-priced securities activity.
Two new CFTC-approved exemptions from the requirement to execute certain swap types on a swap execution facility or a designated contract market were published in the Federal Register.
A CFTC final rule intended to resolve operational issues faced by swap execution facilities and their market participants in relation to audit trail data, financial resources and chief compliance officer requirements was published in the Federal Register.
A final rule promulgated by the OCC, Federal Reserve Board and FDIC that implements a net stable funding ratio requirement for certain large U.S. banking organizations was published in the Federal Register.