FINRA increased margin requirements for exchange-traded notes and options in order to address the complexity of these products, as well as confirming that exchange-traded notes and options on them are not allowed for portfolio margining.
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A Hong Kong-based hedge fund settled CFTC charges for exceeding the spot month speculative position limit for soft red winter wheat futures contracts.
FDIC Chair Jelena McWilliams highlighted recent regulatory developments and additional work concerning resolution planning for large institutions in a cross-border context.
FINRA proposed amending Rules 6110 and 6610 to expand the summary firm data that FINRA publishes on its website regarding OTC equity trading.