The SEC Division of Trading and Markets issued new guidance for chief compliance officers submitting annual reports on behalf of security-based swap dealers.
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The Federal Reserve Board published in the Federal Register a request for comments on proposed guidance concerning a framework for the supervision of insurance activities by depository institution holding companies.
FINRA proposed removing the $0.50 fee applicable to FINRA/Nasdaq TRF transaction queries performed by non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.
FinCEN extended the comment period for a proposed rulemaking concerning potential Bank Secrecy Act information collection and reporting requirements "on certain persons participating in transactions involving non-financed purchases of real estate."
In a new report, the Congressional Research Service analyzed the 2007 market crash and the 2020 pandemic crash, the steps that Congress took after each of these crises, and the authorities that the regulators relied upon to reduce systemic risk and avert market crashes.