The SEC solicited comments on the FINRA proposal concerning conflicts of interest relating to the publication and distribution of debt research reports. The request for comments was published in the Federal Register.
News & Insights
On June 10, 2016, the CFTC will hold a public roundtable to examine certain elements of Regulation Automated Trading. The "Notice of Staff Roundtable Discussion and Reopening of the Comment Period" was published in the Federal Register.
The House Committee on Science, Space and Technology requested information and a briefing on reported cyber breaches detected by the Federal Reserve Board's National Incident Response Team.
FINRA notified persons associated with certain algorithmic trading activities that they must register as securities traders by January 30, 2017.
The Financial Crimes Enforcement Network proposed prohibiting covered U.S. financial institutions from engaging in certain foreign correspondent account activities with North Korean financial institutions. The proposal was published in the Federal Register.