FINRA proposed temporary rule amendments to give the Office of Hearing Officers and National Adjudicatory Council the authority to conduct certain hearings by video conference.
News & Insights
21990 News Results
CFTC staff provided additional no-action relief relating to the transition from swaps that reference London Interbank Offered Rate and other interbank offered rates.
FINRA reminded member firms of their supervisory responsibilities for Consolidated Audit Trail compliance.
An SEC and FDIC final rule governing the orderly liquidation of "covered broker-dealers" was published in the Federal Register.
The Cabinet Regulatory Tracker is a list of effective dates, compliance dates and comment deadlines.