Margin! Capital! Custody!

SEC Adopts Swap Capital, Margin and Segregation Requirements
Steven Lofchie Commentary by Steven Lofchie
The SEC adopted new rules and rule amendments to establish security-based swap capital, margin and segregation requirements.
House Passes Bill to Block Federal Enforcement of Cannabis Laws in U.S. States and Territories
Jodi Avergun Commentary by Jodi Avergun
In 267 to 165 vote, the House of Representatives passed an amendment to the DOJ appropriations bill that would, among other things, prevent the DOJ from interfering in states that have legalized the "use, distribution, possession, or cultivation" of medical and adult-use cannabis.
FINRA Proposes Research Amendments
FINRA proposed loosening research rule requirements relating to certain investment funds.
Broker-Dealer Settles FINRA Charges for Failing to Apply Sales Charge Discounts
A broker-dealer agreed to settle FINRA charges of failing to identify and apply discounts for investors on Unit Investment Trust purchases.
ISDA Urges IASB to Incorporate IBOR Reform "Phase-Two" Issues in Exposure Draft
ISDA urged the International Accounting Standards Board to address forthcoming Interbank Offered Rate reform issues in its exposure draft on interest rate benchmark reform.
Retailer Settles DOJ and SEC Charges for FCPA Violations
A global retailer settled DOJ and SEC charges of violating the books and records and internal accounting controls provision of the Foreign Corrupt Practices Act.
OFAC Designates Nicaraguan Government Officials for Human Rights Abuses
OFAC designated Nicaraguan government officials for human rights abuses.