Commentary by Steven Lofchie
FINRA requested comments on the application of its rules to government securities and, as to certain of its rules, to debt securities generally.
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Commentary by Steven Lofchie
The Office of the Comptroller of the Currency and the FDIC each released their Dodd-Frank stress testing scenarios for certain institutions with more than $10 billion in total consolidated assets.
A registered broker-dealer agreed to pay a total of $2.8 million in order to settle FINRA and SEC charges related to alleged violations of the Customer Protection and Net Capital Rules.
Chair of the SEC Jay Clayton and Chair of the CFTC J. Christopher Giancarlo described their agencies' regulatory approaches to virtual currency markets and pledged collaborative efforts to ensure investor protection.
Federal banking agencies proposed amendments to conform swap margin rules to recently adopted rules restricting the cancellation rights of qualified financial contracts in the event of a counterparty entering resolution proceedings.