In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities concerning ethical standards for financial advisors.
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In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
FINRA elected four new governors to the agency's Board of Governors.
The New York State Department of Financial Services approved the application of Bakkt Trust Company LLC to act as a custodian for Bitcoin.