The CFTC published the 2016 schedule of fees for overseeing the rule enforcement programs of regulated exchanges and the National Futures Association.
News & Insights
The SEC extended the comment period from May 8, 2017 until July 7, 2017 on the disclosures required by Industry Guide 3 ("Statistical Disclosure by Bank Holding Companies").
In two executive memoranda, President Trump directed the Treasury Department to review the processes in place for the Financial Stability Oversight Council and the framework for the Orderly Liquidation Authority.
The Board of Governors of the Federal Reserve System announced two enforcement actions against a foreign bank for "unsafe and unsound" activities in the foreign exchange markets, and for inadequacies in its Volcker Rule compliance program.
FINRA released a copy of the revised Private Placement Filer Form, including amended questions relating to information about participating members, issuers, and offerings. FINRA will begin using the updated form on May 22, 2017.