Following a previous request for relief, the CFTC Division of Swap Dealer and Intermediary Oversight issued an exemption to a commodity pool operator from the requirement to file and distribute an audited annual report.
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21956 News Results
The U.S. Senate voted to repeal the Consumer Financial Protection Bureau regulatory guidance on auto-loan financing.
The SEC proposed rules (i) to require broker-dealers to act in the "best interests" of retail customers when making investment recommendations and (ii) to affirm and clarify the various types of obligations that investment advisers owe to their clients.
Senators from the Committee on Agriculture sent a letter urging the Treasury Secretary to begin a review of a Brazil-based meat processing and distribution company's planned acquisition of a Missouri-based beef processing company.
MSRB reminded brokers, dealers and municipal securities dealers of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.