FINRA issued a Regulatory Notice to remind members of rule changes implemented in December 2016. The changes address disruptive trading and quoting activity.
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21975 News Results
CFTC Acting Chair J. Christopher Giancarlo testified before a House Appropriations Subcommittee on the Commission's 2018 Budget Request.
FINRA filed a proposed rule change with the SEC that would implement resolution procedures for disputes that arise in relation to Consolidated Audit Trail fees.
The Office of the Comptroller of the Currency published answers to frequently asked questions about risk management expectations regarding third-party relationships.
The Board of Governors of the Federal Reserve System approved an extension of the transition period during which Deutsche Bank AG, SVB Financial Group, and UBS Group AG must conform certain investments in illiquid funds to Volcker Rule Requirements.