Commentary by Steven Lofchie
The SEC adopted a rule change that will clarify an annual reporting exemption for certain broker-dealers.
News & Insights
21975 News Results
Commentary by Steven Lofchie
At a roundtable discussion hosted by the Federal Reserve Board, bankers and community groups described their experiences with Community Reinvestment Act implementation and proposed amendments to better address underserved areas.
A broker-dealer settled FINRA charges for alleged deficiencies in its anti-money laundering compliance program related to penny stock transactions.
Three companies settled separate potential civil liabilities for apparent violations of the Cuban Assets Control Regulations.
The CFTC Office of the Inspector General expressed "disappoint[ment]" with the CFTC's lack of progress in addressing whistleblower allegations of mismanagement in the Risk Surveillance Branch of the CFTC Division of Clearing and Risk.