Join Norton Rose Fulbright and Compliance Risk Concepts in discussing FINRA's new office rules on Wednesday, September 18, 2024, at 2:00 pm - 3:00 pm E.T. The new rules, which came into effect in June, have significant impact on firms that permit personnel to work from home, or that inspect their offices remotely.

In a class action, a group of customers sued a broker-dealer/registered investment adviser alleging that it operated a cash sweep program that benefited itself and affiliates at the expense of the customers.

The CFTC approved an application for registration filed by a trading startup that will let users bet on the outcome of future events (including elections).

The CFTC revised and extended no-action relief for UK-based swap dealers, multilateral trading facilities and organized trading facilities to allow for compliance with UK regulations that have replaced the EU regulations following Brexit.

FinCEN adopted two rules to extend anti-money laundering regulations to real estate agents and investment advisers.