SIFMA urged the Federal Reserve Board to revise the Global Market Shock and Large Counterparty Default components of the Comprehensive Capital Analysis and Review framework.
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The New York State Department of Financial Services authorized an existing NYDFS licensee to offer a gold-backed virtual currency.
The Options Clearing Corporation settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
SEC Chair Jay Clayton asserted that the SEC's recent guidance and interpretation on proxy voting "embody two fundamental tenets."
The SEC Office of Compliance Inspections and Examinations urged investment advisers to review written policies and procedures to maintain compliance with principal trading and agency cross transaction provisions.