An SEC proposal amending the application process for funds seeking exemptive relief under the Investment Company Act of 1940 was published in the Federal Register.
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21980 News Results
An SEC proposal to tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities was published in the Federal Register.
The SEC Division of Trading and Markets issued a time-limited no-action letter allowing a New York limited purpose trust company to use blockchain technology to settle equities securities trades.
The Federal Reserve Board, FDIC and OCC adopted a final rule designed to simplify capital requirements for qualifying community banks.
The FDIC outlined key credit and market risks that could affect FDIC-insured institutions, the FDIC's deposit insurance fund and community banks.