A broker-dealer settled FINRA charges for failing to implement a satisfactory system of risk management controls.
News & Insights
21990 News Results
NFA reminded swap dealer registrants of their regulatory reporting requirements in the midst of the coronavirus pandemic.
The SEC adopted amendments to the definitions of "accelerated filer" and "large accelerated filer" under Exchange Act registration and reporting rules. The amendments reduce costs for certain lower-revenue companies.
State regulators and Attorneys General continue to address online credit companies' participation in "rent-a-bank" schemes.
FIA partnered with data analytics firm Greenwich Associates on a study of trends in the derivatives markets. Researchers surveyed market participants on derivative product usage, counterparty relationships and regulatory developments.