The FDIC and the Federal Reserve Board finalized guidance regarding the submission of the resolution plans with respect to certain large foreign banking organizations.
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21984 News Results
A broker-dealer settled FINRA charges for failing to conduct adequate background checks of newly hired employees and to notify FINRA of its expanded number of employees and branch offices.
The SEC amended Regulation NMS in order to foster "a competitive environment for the dissemination of national market system information via a decentralized consolidation model with competing consolidators."
A broker-dealer settled NYSE charges for executing orders with more than one floor broker on the account of the same principal.
A broker-dealer settled NYSE charges for mishandling customer orders prior to the opening of a security.