Regulation Best Interest significantly expands the obligations that broker-dealers owe to retail investors. To assist in navigating these new requirements, the Cabinet produced four new Retail Best Interest Topic Pages.
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On August 8, 2019, the National Credit Union Administration renamed the "Office of Public and Congressional Affairs."
The NFA suspended a CPO and CTA for failure to register their commodity pool with the NFA.
The New York State Supreme Court held that the New York Department of Financial Services had the authority to enact a "best interest" standard for sellers of annuities and life insurance.
A futures commission merchant settled NFA charges for failing to compensate retail forex customers whose orders were adversely affected by an ongoing malfunction in the firm's electronic trading platform.