FINRA is seeking comments on a proposed rule change concerning the outside business activities of registered persons.
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21952 News Results
CFTC Commissioner Brian Quintenz expressed concern that post-crisis reforms were not appropriately tailored to address market-specific risks, and that regulators are disincentivizing activity that is necessary for healthy, efficient markets.
SEC interpretive guidance intended to help public companies prepare disclosure statements about cybersecurity risks and incidents was published in the Federal Register.
The Office of the Comptroller of the Currency made technical changes to the "Background Investigations" booklet of the Comptroller's Licensing Manual.
The SEC Investor Advocate expressed disapproval of mandatory arbitration provisions that prohibit shareholders from pursuing class actions.