FINRA proposed to amend its By-Laws on the removal of National Adjudicatory Council members.
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21984 News Results
The New York State Department of Financial Services approved PayPal Inc.'s application for a conditional Bitlicense.
In response to the SEC Division of Investment Management's smaller funds outreach initiative, Director Dalia Blass stated that the Division is reviewing Advisors Act advertising and cash solicitation rules, Investment Company Act custody rules, and multiple challenges concerning the proxy process.
The SEC Division of Trading and Markets issued a warning letter to broker-dealers operating programs in which they borrow fully paid margin securities from their customers.
In a joint request for comment, the SEC and CFTC solicited feedback on possible methods for implementing portfolio margining of SEC- and CFTC-regulated products.