The Board of IOSCO issued nine best practices for handling customer complaints, with a focus on retail investors.
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The OCC postponed publication in the Federal Register of its adopted rule that codifies existing guidance to ensure fair access to financial services.
SIFMA submitted a comment letter criticizing proposed amendments to the National Market System Plan Governing the Consolidated Audit Trail, which among other things, provides for liability to industry members reporting to the CAT relating to system breaches or misuse.
President Joe Biden instructed the Director of the Office of Management and Budget to improve and modernize the regulatory review process and to produce recommendations for "ensur[ing] swift and effective Federal action."
The European Commission determined that the SEC's regulatory framework for central counterparties is equivalent to that of the European Union.