In a comment letter, SIFMA argued that recent proposed increases to MSRB's fees for broker-dealers and municipal advisers are unnecessary.
News & Insights
21975 News Results
FINRA proposed amendments to conform existing rules on "trading halts" to recent changes to the "NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks."
Affiliated broker-dealers settled NYSE Arca charges for failing to establish and maintain a system of risk management and supervisory procedures reasonably designed to prevent submission of erroneous orders.
The Federal Reserve Board, the FDIC, FinCEN, the NCUA and the OCC reminded banks to apply a risk-based approach when assessing customer relationships and conducting customer due diligence on anti-money laundering risks.
OFAC sanctioned two individuals, 13 entities and two vessels for facilitating the sale and transport of Iranian petroleum and petrochemical products.