Federal Reserve Board Vice Chair Randal K. Quarles recommended several proposals that would clarify expectations and encourage good risk management practices by banks.
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FINRA proposed an exception to its rule on the clearance of certain corporate debt securities through a registered clearing agency.
FINRA named Jessica Hopper as the new Executive Vice President and Head of Enforcement. Ms. Hopper is replacing Susan Schroeder, who stepped down in September 2019.
A broker-dealer settled FINRA charges for misreporting short positions in equity securities.
A broker-dealer settled FINRA charges for failing to take reasonable measures to prevent fraudulent wire transfers from customers' accounts.