News & Insights
21990 News Results
OFAC extended the expiration date for two Ukraine-related General Licenses.
FINRA adopted a rule change to "modernize, simplify and clarify" the filing process of underwriting terms and arrangements for members that participate in public offerings.
FINRA filed a proposed rule change to extend its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities from the previous extension of April 20, 2020 to October 20, 2020.
NFA issued relief from certain recordkeeping requirements to futures commission merchants / introducing brokers, swap dealers and forex dealer members.