FINRA issued guidance to representatives of broker-dealers, investment advisers, and issuers on editing, reviewing, and electronically signing the Uniform Application for Securities Industry Registration or Transfer ("Form U4") in the FinPro Gateway.
News & Insights
The Miami International Securities Exchange proposed amendments to its listing and withdrawal rules to permit the listing and trading of options on Commodity-Based Trusts that hold multiple crypto assets.
Cboe Exchange, Inc. (Cboe Options) filed a proposed rule change to allow it to list and trade certain binary options during extended trading sessions.
A group of financial associations urged the SEC to either rescind or signficantly narrow SEC disclosure requirements on cybersecurity because they force companies to reveal sensitive operational details and prematurely disclose ongoing cyber incidents.
The CFTC announced that its newly formed Innovation Task Force will concentrate on three emerging technological sectors: crypto assets and blockchain technologies; artificial intelligence and autonomous systems; and prediction markets and event contracts.