The Futures Industry Association published an analysis on the evolution of the methodology used by central clearinghouses for the purpose of calculating margin for exchange-traded derivatives.

The MSRB established the 2024 criteria for designating participants for the next mandatory functional and performance testing of business continuity and disaster recovery plans.

FINRA proposed rule amendments to strengthen the general prohibition against borrowing and lending arrangements with customers, narrow certain exceptions to those prohibitions and enhance the notification requirements for approval of such arrangements.

New York Governor Kathy Hochul signed into law the LLC Transparency Act. The new law will create a database tool of the beneficial owners of Limited Liability Corporations that can be accessed by federal, state and local government law enforcement across New York State.

An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.