Now Two Things Really Are Certain |
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Senate Finance Committee Chair Ron Wyden (D-OR) intends to introduce a broad "mark-to-market" bill later this year that would require certain taxpayers to pay an annual tax on any unrealized gain on assets.
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The SEC moved forward on proposed substituted compliance determination for UK- and French-regulated firms that register as security-based swap dealers.
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The Alternative Reference Rates Committee commended New York State Governor Andrew Cuomo's signing of legislation meant to reduce potential disputes and market disruption associated with the transition away from LIBOR.
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"[T]his legislation will significantly reduce operational and legal risks for many market participants and help them seamlessly transition to the Secured Overnight Financing Rate."
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ARRC Chair Tom Wipf
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Commentary by Steven Lofchie
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A firm settled FINRA allegations for charging excessive commissions on certain transactions in equity securities, in violation of FINRA's "5% policy" around markups.
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The Cabinet Regulatory Tracker is a list of effective dates, comment deadlines and compliance dates.
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