The National Futures Association reminded members of their ongoing obligation to update the firm-level section of the annual questionnaire to reflect virtual currency transactions.
News & Insights
21952 News Results
The Consumer Financial Protection Bureau issued a Request for Information on consumer financial laws previously vested in other federal agencies ("inherited regulations").
FINRA and the MSRB updated FAQs regarding confirmations for fixed-income transactions.
A Canadian gold mining corporation agreed to settle SEC charges that the company failed to maintain adequate internal controls sufficient to prevent and detect illegal payments by two subsidiaries.
The Congressional appropriations bill signed into law on March 23, 2018 includes a provision that will amend rules applicable to business development companies.