In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.
News & Insights
21980 News Results
The Congressional Research Service explored the impact of the Biden Administration's regulatory freeze on the OCC's publication of its finalized Fair Access Rule.
A New York State Senate bill that would establish a "billionaire mark to market tax" was referred to the State Budget and Revenue Committee on February 5, 2021.
The SEC named Kelly L. Gibson, current Philadelphia Regional Office Director, as Acting Deputy Director of the Division of Enforcement.
The SEC requested comment on the potential money market fund reform measures outlined in the President's Working Group of Financial Markets December 2020 report.