https://www.findknowdo.com/daily1.0 https://www.findknowdo.com/news/08/28/2015/fdic-releases-principles-development-and-distribution-stress-test-scenarios2024-10-08T19:17Zyearly https://www.findknowdo.com/news/08/31/2015/nfa-bars-bvi-firms-membership2024-04-05T19:41Znever https://www.findknowdo.com/news/08/31/2015/finra-adopts-rule-concerning-private-securities-transactions-%28fed.-reg.%292024-04-12T13:07Znever https://www.findknowdo.com/news/08/31/2015/cftc-proposes-amendments-swap-data-recordkeeping-and-reporting-requirements-cleared-swaps-%28fed.-reg.%292024-04-06T17:48Znever https://www.findknowdo.com/news/08/31/2015/sec-educates-investors-about-non-traded-reits2020-12-15T04:49Znever https://www.findknowdo.com/news/08/31/2015/nfa-proposes-adoption-issps-%28-lofchie-comment%292024-04-05T19:41Znever https://www.findknowdo.com/news/08/31/2015/occ-improves-treatment-servicemembers-lauds-cyber-security-efforts-and-urges-responsible-financial-services-innovation-%28-lofchie-comment%292024-04-12T21:44Znever https://www.findknowdo.com/news/08/31/2015/industry-groups-call-regulators-exclude-client-collateral-calculating-leverage-ratio2024-04-05T18:43Znever https://www.findknowdo.com/news/08/31/2015/sifma-criticizes-finras-proposal-regarding-discretionary-accounts-and-transactions-%28reg.-notice-15-22%29-%28-lofchie-comment%292024-04-12T13:07Znever https://www.findknowdo.com/news/09/01/2015/ferc-names-new-general-counsel2020-08-24T17:15Znever https://www.findknowdo.com/news/09/01/2015/sec-solicits-comments-foreign-registration-form-18-%28fed.-reg.%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/02/2015/44-senators-submit-letter-sec-urging-disclosure-shareholders-corporate-resources-used-political-activities2020-12-04T23:35Znever https://www.findknowdo.com/news/09/02/2015/nfa-increases-capital-requirements-forex-dealers-imposes-new-risk-management-requirements-%28nfa-notice-i-15-21%292024-04-05T19:41Znever https://www.findknowdo.com/news/09/02/2015/commissioner-giancarlo-recommends-moving-past-old-false-narrative-cftc-%28energy-metro-desk%292024-04-06T17:48Znever https://www.findknowdo.com/news/09/02/2015/iosco-report-confirms-progress-made-jurisdictions-implementing-mmf-policies2021-01-24T01:53Znever https://www.findknowdo.com/news/09/02/2015/cme-asks-withdraw-registration-securities-clearing-agency-%28fed.-reg.%292024-04-05T18:43Znever https://www.findknowdo.com/news/09/02/2015/iosco-and-cpmi-seek-comments-otc-derivatives-data-elements-report2024-01-31T03:13Znever https://www.findknowdo.com/news/09/04/2015/finra-proposes-establishment-administration-and-delivery-fee-municipal-advisor-representative-examination2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/04/2015/sec-division-corp.-fin.-updates-financial-reporting-manual2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sifma-president-and-ceo-bentsen-considers-consequences-dol-fiduciary-proposal2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/04/2015/sec-grants-regulation-m-exemption-connection-repurchase-program2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/court-orders-production-documents-corporation-under-sec-investigation-claimed-be-privileged2020-08-24T17:15Znever https://www.findknowdo.com/news/09/04/2015/sec-charges-advisory-firm-fraud-improperly-retaining-fees-connection-cdos2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/msrb-seeks-approval-apply-its-gifts-rule-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/03/2015/sec-approves-finras-rule-change-establishing-securities-trader-and-securities-trader-principal-registration-categories-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/03/2015/msrb-revises-effective-date-rule-g-18-best-execution-transactions-municipal-securities-%28notice-2015-14%292024-04-12T00:22Znever https://www.findknowdo.com/news/09/03/2015/frb-and-occ-permit-bank-america-use-advanced-approaches-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/03/2015/cme-group-completes-first-multilateral-compression-cycle-successfully-gross-notional-reductions-amount-2.2-trillion2020-08-24T17:15Znever https://www.findknowdo.com/news/09/03/2015/sec-approves-finras-trace-eligible-securities-reporting-rule-change2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/03/2015/study-finds-title-iv-dodd-frank-act-affects-private-fund-industry-negatively2020-12-03T14:28Znever https://www.findknowdo.com/news/09/03/2015/iosco-report-confirms-progress-made-jurisdictions-implementing-incentive-alignment-recommendations2020-12-20T12:21Znever https://www.findknowdo.com/news/09/03/2015/ny-district-court-lifts-suspension-patriots-quarterback-tom-brady-%28-lofchie-comment%292020-08-06T22:26Znever https://www.findknowdo.com/news/09/04/2015/sec-settles-charges-hedge-fund-adviser-took-unearned-management-fees2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sec-grants-no-action-relief-dow-chemical-regarding-issuer-tender-offers2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sifma-recommends-modifications-dol-proposed-rules-regarding-exemption-minimum-wage-and-overtime-pay2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/04/2015/dol-releases-qa-history-labor-day2020-08-24T17:15Znever https://www.findknowdo.com/news/01/30/2015/weekly-roundup-exchange-rule-changes-category2021-06-18T18:29Znever https://www.findknowdo.com/news/09/04/2015/commissioner-gallagher-announces-his-departure-date-sec-%28-lofchie-comment%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/04/2015/sec-proposes-amendments-related-security-based-swap-data-repositories2024-01-31T03:13Znever https://www.findknowdo.com/news/09/04/2015/finra-podcast-august-2015-monthly-recap-finra-notices-and-selected-sec-rule-approvals2024-04-12T13:07Znever https://www.findknowdo.com/news/09/08/2015/fincen-settles-casino-aml-violations2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/09/08/2015/sec-charges-three-traders-dishonesty-%28-lofchie-comment-and-youtube-selection%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2015/cme-group-expands-deliverable-swap-futures-offering-7-and-20-year-denominated-contracts-%28-zwirb-comment%292024-04-05T18:43Znever https://www.findknowdo.com/news/09/08/2015/sifma-icma-and-isla-introduce-securities-financing-transaction-annex-response-prudential-regulation-authoritys-consultation-paper2021-01-13T20:58Znever https://www.findknowdo.com/news/09/08/2015/dod-amends-military-lending-act-%28fed.-reg.%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/08/2015/consumer-financial-services-company-and-former-executives-settle-charges-accounting-fraud2020-08-24T17:15Znever https://www.findknowdo.com/news/09/08/2015/sec-names-deputy-director-its-office-credit-ratings2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2015/fcm-settles-case-involving-supervision-and-record-production-violations2020-08-24T17:15Znever https://www.findknowdo.com/news/09/09/2015/sec-settles-case-regarding-failure-disclose-executive-perks2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-appoints-new-director-office-international-affairs2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/sec-names-co-chiefs-division-enforcements-market-abuse-unit2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-approves-bitcoin-startup-temporary-swap-execution-facility2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-requires-membership-nfa2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/house-subcommittee-considers-bill-lifting-ban-crude-oil-exports-%28-delta-strategy-group-summary%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/10/2015/divided-second-circuit-revives-whistleblowers-workplace-retaliation-claim2024-01-30T02:46Znever https://www.findknowdo.com/news/09/14/2015/european-supervisors-tell-banks-be-more-efficient2021-06-18T20:30Znever https://www.findknowdo.com/news/09/14/2015/sifma-and-iib-criticize-cftcs-cross-border-margin-proposal2022-01-05T02:49Znever https://www.findknowdo.com/news/09/14/2015/sifma-recommends-modifications-msrb-proposed-rule-duties-non-solicitor-municipal-advisors2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/14/2015/sifma-recommends-changes-finra-and-msrb-proposal-provide-trading-data-academics2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/14/2015/sec-settles-ukrainian-traders-who-profited-hacked-news-releases2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/14/2015/cftc-adopts-rule-requiring-ibs-cpos-and-ctas-register-futures-association-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/14/2015/cftc-requests-comments-new-red-list-program-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/14/2015/sec-amends-proposal-duties-and-core-principles-security-based-swap-data-repository-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/09/2015/cftc-chair-calls-more-resources-deal-critical-market-issues-%28-lofchie-comment-and-delta-strategy-group-summary%292024-04-06T17:48Znever https://www.findknowdo.com/news/09/09/2015/increased-regulation-inhibits-new-firm-creation-and-small-firm-employment-report-finds2024-02-07T20:40Znever https://www.findknowdo.com/news/09/09/2015/sec-commissioner-outlines-opportunities-accountants-era-digital-disruption2020-08-24T17:15Znever https://www.findknowdo.com/news/09/09/2015/finra-provides-guidance-regulation-a-offerings-%28finra-reg.-notice-15-32%29-%28-lofchie-comment%292024-04-12T13:06Znever https://www.findknowdo.com/news/09/09/2015/presidential-candidate-clinton-announces-support-sec-sunshine-policies2022-07-11T08:55Znever https://www.findknowdo.com/news/09/09/2015/sifma-recommends-changes-proposed-finra-rules-concerning-employee-accounts2022-08-30T19:10Znever https://www.findknowdo.com/news/09/09/2015/cftc-launches-red-list-protect-investors-against-fraud2024-04-06T17:48Znever https://www.findknowdo.com/news/09/11/2015/mfa-criticizes-regulators-stay-initiatives-following-bank-insolvency2021-01-15T00:20Znever https://www.findknowdo.com/news/09/11/2015/afl-cio-president-demands-end-golden-parachutes2020-12-15T03:48Znever https://www.findknowdo.com/news/09/11/2015/house-committee-holds-hearing-preserving-retirement-security-and-investment-choices-all-americans2024-04-04T19:21Znever https://www.findknowdo.com/news/09/11/2015/sifma-files-amicus-brief-calling-reversal-short-sales-decision-%28-lofchie-comment%292021-01-13T20:58Znever https://www.findknowdo.com/news/09/11/2015/weekly-roundup-exchange-rule-changes-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/11/2015/sifma-files-amicus-brief-fdic-case-involving-extender-statute2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/15/2015/finra-issues-guidance-liquidity-risk-management-practices-%28finra-reg.-notice-15-33%292024-04-12T13:06Znever https://www.findknowdo.com/news/09/15/2015/government-loses-insider-trading-case2021-01-16T07:38Znever https://www.findknowdo.com/news/09/15/2015/associations-file-brief-discounted-future-payments-bankruptcy-plan2021-01-13T20:54Znever https://www.findknowdo.com/news/09/15/2015/sec-issues-exemptions-affecting-sbs-intermediaries2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/15/2015/cftc-proposes-amendment-definition-material-terms-purposes-swap-portfolio-reconciliation2024-04-06T17:48Znever https://www.findknowdo.com/news/09/15/2015/finra-proposes-faster-disclosure-negative-information-about-broker-dealers2024-04-12T13:06Znever https://www.findknowdo.com/news/09/15/2015/trade-associations-urge-chinese-authorities-enhance-it-security-regulation-banking-sector2020-12-15T04:14Znever https://www.findknowdo.com/news/09/15/2015/finra-proposes-merger-dispute-resolution-and-regulatory-subsidiaries2024-04-12T13:06Znever https://www.findknowdo.com/news/09/16/2015/fdic-vice-chair-defends-higher-leverage-ratio2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/16/2015/sec-division-enforcement-director-wants-easy-access-isp-email-content2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/16/2015/cftc-commissioner-criticizes-proposed-rules-trading-position-limits2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2015/sec-delays-action-finra-transaction-reporting-proposal-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/16/2015/finra-sanctions-10-after-tracking-broker-migration2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/16/2015/ici-calls-revisions-cftcs-margin-requirements-uncleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2015/iosco-issues-report-sound-practices-investment-risk-education2020-08-24T17:15Znever https://www.findknowdo.com/news/09/17/2015/irs-issues-final-regulations-dividend-equivalents2024-04-04T18:52Znever https://www.findknowdo.com/news/09/17/2015/cftc-commissioner-proposes-new-rules-algorithmic-trading-and-cybersecurity-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/17/2015/cftc-finds-a-bitcoin-a-commodity2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/cftc-charges-precious-metals-company-fraud2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/cftc-takes-enforcement-action-against-firm-failure-file-large-trader-reports2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/sec-charges-executives-clearing-firm-making-improper-margin-loans2024-01-31T02:35Znever https://www.findknowdo.com/news/09/17/2015/iosco-issues-report-cross-border-financial-regulation2020-08-06T22:26Znever https://www.findknowdo.com/news/09/18/2015/fdic-chair-cites-progress-development-orderly-liquidation-framework2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/18/2015/ofr-publishes-working-paper-liquidity-dynamics-during-crises2022-07-27T19:43Znever https://www.findknowdo.com/news/09/18/2015/cftc-issues-guidance-dco-regulations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/18/2015/sifma-says-msrb-overcharges-dealers-undercharges-advisors2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/17/2015/sec-removes-references-credit-ratings-money-market-fund-rule-and-form2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/ofac-revises-restrictions-dealings-cuba2026-04-15T21:04Zyearly https://www.findknowdo.com/news/09/22/2015/cftc-proposes-supplement-position-limit-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/22/2015/sec-charges-investment-adviser-failing-protect-clients-information2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/sec-proposes-liquidity-management-rules-mutual-funds-and-etfs2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/sec-chair-white-strongly-supports-trade-settlement-t22026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/nasaa-report-finds-senior-investors-continue-be-primary-target-fraudulent-investment-pitches2024-02-03T22:51Znever https://www.findknowdo.com/news/09/22/2015/financial-services-committee-holds-hearing-dodd-frank-are-we-more-free2020-12-24T15:01Znever https://www.findknowdo.com/news/09/22/2015/msrb-seeks-comments-proposals-rules-g-20-and-g-8-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/22/2015/cftc-proposal-amend-definition-material-terms-purposes-swap-portfolio-reconciliation-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/22/2015/sec-names-associate-regional-director-enforcement-regional-new-york-office2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/17/2015/iosco-report-shows-progress-adoption-standard-principles-oil-price-reporting-agencies2020-08-06T22:26Znever https://www.findknowdo.com/news/09/17/2015/sec-sets-compliance-date-asset-level-disclosure2020-12-15T05:11Znever https://www.findknowdo.com/news/09/17/2015/sec-chief-accountant-sets-priorities2022-12-03T14:10Znever https://www.findknowdo.com/news/09/17/2015/msrb-create-investor-advisory-group2024-04-12T00:22Znever https://www.findknowdo.com/news/09/21/2015/house-republican-pushes-bill-requiring-more-transparency-and-control-fsoc2022-07-27T18:55Znever https://www.findknowdo.com/news/09/21/2015/cftc-staff-provides-guidance-firm-or-forced-trades-process-derivatives-clearing-organizations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/21/2015/sec-charges-investment-adviser-improperly-using-mutual-fund-assets-pay-distribution-fees2021-01-24T02:26Znever https://www.findknowdo.com/news/09/21/2015/cftc-requests-comment-exemption-dco-registration-japanese-clearing-corporation2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2015/sec-advisory-committee-small-companies-considers-capital-raising-issues2022-08-30T19:08Znever https://www.findknowdo.com/news/09/23/2015/finra-alerts-investors-potential-risks-smart-beta-products2024-04-12T13:06Znever https://www.findknowdo.com/news/09/23/2015/trade-associations-commend-secs-proposed-liquidity-risk-management-programs-mutual-funds2021-06-18T15:46Znever https://www.findknowdo.com/news/09/23/2015/depository-trust-clearing-corporation-appoints-former-cftc-commissioner-new-managing-director2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2015/finra-proposes-rule-amendment-allow-submission-otc-clearing-only-non-regulatory-reports2024-04-12T13:06Znever https://www.findknowdo.com/news/09/23/2015/sec-solicits-comment-effective-date-msrb-rule-g-18-regarding-best-execution-%28fed.-reg.%292024-04-12T00:22Znever https://www.findknowdo.com/news/09/23/2015/sec-issues-investor-alert-regarding-radio-investment-schemes2021-01-25T01:09Znever https://www.findknowdo.com/news/09/23/2015/sec-staff-grants-no-action-relief-ia-registration-certain-advisers-venture-capital-funds2021-01-24T05:21Znever https://www.findknowdo.com/news/09/23/2015/sec-charges-consultant-insider-trading-impending-acquisition-offer2020-12-15T06:50Znever https://www.findknowdo.com/news/08/28/2015/isda-ceo-encourages-basel-committee-re-open-its-leverage-ratio-rules-%28-lofchie-comment%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/28/2015/msrb-files-amendments-rules-underwriting-and-transaction-assessments-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/24/2015/sifma-files-amicus-brief-supporting-a-tri-party-custodian-%28-mcdonnell-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-commissioner-wants-global-standards-less-rigidity2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/sifma-asks-harmonization-securities-dealer-and-security-based-swap-dealer-rules2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/24/2015/sef-sanctioned-wash-trading-bitcoin-swap2020-12-15T04:20Znever https://www.findknowdo.com/news/09/24/2015/msrb-proposes-additional-mark-disclosure2024-04-12T00:22Znever https://www.findknowdo.com/news/09/24/2015/sec-chair-announces-new-rulemaking-database2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/25/2015/finra-proposes-rule-change-establish-margin-requirements-tbas-and-other-agency-transactions2024-04-12T13:06Znever https://www.findknowdo.com/news/09/24/2015/sec-proposes-amendments-rules-governing-administrative-proceedings2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-order-finds-firm-failed-disclose-material-changes-algorithmic-trading-program2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-orders-commodities-trading-company-pay-penalty-executing-wash-trades2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-grants-firm-registration-a-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/nasaa-task-force-settles-multi-state-case-against-financial-advisory-firm2024-02-03T22:51Znever https://www.findknowdo.com/news/10/02/2013/sec-renews-advisory-committee-small-and-emerging-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/24/2015/nfa-board-membership-terms-delineated-2015-meeting2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/28/2015/frb-governor-advocates-broader-capital-and-liquidity-regulations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/28/2015/streetwise-professor-says-eu-capital-structures-commodity-trading-firms-all-pain-no-gain2020-08-24T17:15Znever https://www.findknowdo.com/news/09/28/2015/securities-fee-working-group-collaborates-standardized-broker-dealer-fees2020-12-15T04:28Znever https://www.findknowdo.com/news/09/28/2015/nasaa-releases-top-line-report-common-investment-adviser-compliance-deficiencies2024-02-03T22:51Znever https://www.findknowdo.com/news/09/28/2015/cftc-extends-no-action-relief-ocr-reporting-obligations-%28cftc-letter-15-52%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/28/2015/broker-dealer-settles-sec-charges-deficient-blue-sheet-submission2020-12-16T23:41Znever https://www.findknowdo.com/news/09/28/2015/iosco-staff-reports-growth-activity-and-risks-corporate-bond-markets-emerging-markets2020-08-24T18:03Znever https://www.findknowdo.com/news/09/28/2015/occ-releases-bank-supervision-operating-plan2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/30/2015/senator-warren-questions-good-intentions-behind-study-challenging-dols-fiduciary-proposal2020-12-24T14:59Znever https://www.findknowdo.com/news/09/30/2015/d.c.-circuit-rejects-challenge-secs-use-house-administrative-law-judges2020-12-15T04:01Znever https://www.findknowdo.com/news/09/30/2015/sec-brings-enforcement-actions-against-underwriters-municipal-securities2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-charges-swap-dealer-reporting-failures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/nfa-preps-swap-dealers-and-major-swap-participants-exams2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-proposes-supplement-position-limit-rules-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/sifma-supports-retail-investor-protection-act2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-extends-time-limited-no-action-relief-clearing-company-and-its-u.s.-clearing-members2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/sifma-managing-director-speaks-out-against-fiduciary-proposal2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/30/2015/sec-appoints-new-associate-director-atlanta-regional-office2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/30/2015/finra-proposes-extension-trace-reporting-pilot-program2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/02/2015/sec-commissioner-gallagher-says-goodbye2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/sec-rejects-buckets-money-appeal2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/fia-distinguishes-types-trading-self-matching2021-06-18T15:43Znever https://www.findknowdo.com/news/10/02/2015/weekly-roundup-exchange-rules2021-06-18T16:05Znever https://www.findknowdo.com/news/10/02/2015/professor-urges-cftc-replace-futures-model-lsoc-model2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/02/2015/sec-names-associate-director-division-economic-and-risk-analysis2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/trade-associations-detail-objections-cpmi-iosco-plan-expand-use-unique-trade-identifiers2020-12-04T02:13Znever https://www.findknowdo.com/news/10/02/2015/sec-adopts-finra-rule-governing-sales-and-offers-sales-securities-military-installations-%28finra-reg.-notice-15-34%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/eu-commissioner-explains-capital-markets-union-action-plan2021-06-21T19:05Znever https://www.findknowdo.com/news/10/02/2015/cftc-adopts-rule-removing-exempt-markets-regulations-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/02/2015/sec-approves-amendments-finra-rules-regarding-temporary-and-permanent-cease-and-desist-orders-%28finra-reg.-notice-15-35%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/finra-proposes-revisions-series-27-and-series-28-exams2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/02/2015/finra-names-nominee-fill-seat-national-adjudicatory-council2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/ofr-director-berner-outlines-vulnerabilities-financial-interconnectedness2022-07-27T19:43Znever https://www.findknowdo.com/news/10/06/2015/aei-scholar-blames-dodd-frank-slow-economic-recovery2020-12-24T15:23Znever https://www.findknowdo.com/news/10/06/2015/nodal-exchange-ceo-discusses-recent-dco-approval-cftc-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/06/2015/ny-department-financial-services-grants-charter-bitcoin-exchange2024-02-03T23:12Znever https://www.findknowdo.com/news/10/06/2015/finra-proposes-applying-mark-policy-transactions-government-securities-%28fed-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/house-representatives-consider-consumer-protection-regulatory-relief-bills2020-08-24T18:03Znever https://www.findknowdo.com/news/10/06/2015/finra-proposes-rule-change-regarding-submission-clearing-only-non-regulatory-reports-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/ferc-commissioner-moeller-announces-intent-leave2021-06-21T19:04Znever https://www.findknowdo.com/news/10/06/2015/aima-publishes-new-cybersecurity-guide-hedge-fund-firms-and-other-asset-managers2021-06-21T19:03Znever https://www.findknowdo.com/news/10/06/2015/sec-grants-no-action-relief-chicago-stock-exchange-regarding-proposed-demand-auction-functionality2026-04-15T20:41Zyearly https://www.findknowdo.com/news/05/13/2014/cayman-islands-working-group-releases-draft-guidance-notes-under-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/03/03/2015/cayman-islands-fatca-reporting-portal-open-early-march2020-08-24T19:01Znever https://www.findknowdo.com/news/06/18/2014/cayman-islands-contracts-%28rights-third-parties%29-law-%28conyers-dill-pearman-client-alert%292020-08-24T19:23Znever https://www.findknowdo.com/news/12/19/2014/cayman-issues-revised-fatca-guidance-notes2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2012/cboe-proposed-rule-change-amend-fees-schedule-relating-electronic-execution-%28sec-release%292020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-proposed-rule-change-amend-fees-schedule-relating-fees-large-customer-trades2020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-proposed-rule-change-increase-position-and-exercise-limits-eem-options-%28pre-fed.-reg.-version%292020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-sec-order-granting-approval-list-and-trade-cboe-sp-500-am/pm-basis-options-%28pre-fed-reg-version%292020-08-06T22:26Znever https://www.findknowdo.com/news/06/12/2013/cboe-charged-regulatory-failures-%28-barrentine-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/02/25/2015/cboe-expresses-concern-regarding-proposed-regulations-related-withholding-tax-under-irc-section-871%28m%292020-08-24T19:00Znever https://www.findknowdo.com/news/02/24/2015/cbrf-submits-comments-iosco-cross-border-regulation2020-08-24T19:00Znever https://www.findknowdo.com/news/04/29/2014/cbs-outdoor-americas-inc.-will-convert-reit-%28-nugent-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/05/01/2015/center-financial-stability-advocates-regulatory-framework-bitcoin2021-06-18T20:24Znever https://www.findknowdo.com/news/05/27/2015/center-financial-stability-president-discusses-era-never-befores-%28-lofchie-comment%292020-12-15T06:49Znever https://www.findknowdo.com/news/01/10/2011/central-clearing-could-damage-pensions2020-12-15T04:26Znever https://www.findknowdo.com/news/01/14/2011/central-securities-depositories-%28csds%292020-08-24T19:59Znever https://www.findknowdo.com/news/12/30/2014/ceo-scott-omalia-discusses-isdas-wish-list-cftc-2015-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/08/2014/certain-offers-security-based-swaps-do-not-require-registration-under-securities-act-%28-lofchie-comment%292020-12-14T08:17Znever https://www.findknowdo.com/news/09/12/2014/certain-offers-security-based-swaps-do-not-require-registration-under-securities-act-%28fed.-reg.%292020-12-14T08:17Znever https://www.findknowdo.com/news/05/22/2013/certifications-u.s.-corporations-fail-end-war-congo2020-12-15T04:53Znever https://www.findknowdo.com/news/08/10/2012/cfpb-final-report-small-business-review-panel-cfpbs-proposals-under-consideration-mortgage-servicing-rulemaking-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/11/2014/cfpb-amends-exemption-dollar-threshold-amounts-consumer-leasing-and-truth-lending-acts2020-12-15T05:16Znever https://www.findknowdo.com/news/08/17/2015/cfpb-director-cordray-discusses-money-management2020-08-06T22:26Znever https://www.findknowdo.com/news/03/26/2013/cfpb-final-rule-disclosures-automated-teller-machines-%28regulation-e%29-%28fed.-reg.-version%292020-12-15T04:32Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-rules-practice-adjudication-proceedings2020-12-15T03:59Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-rules-relating-investigations2020-12-15T03:44Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-state-official-notification-rule2020-12-15T03:25Znever https://www.findknowdo.com/news/07/18/2012/cfpb-guidance-bulletin-regarding-marketing-credit-card-add-products2020-12-15T03:19Znever https://www.findknowdo.com/news/10/15/2012/cfpb-guide-international-fund-transfers2020-12-15T05:20Znever https://www.findknowdo.com/news/01/10/2013/cfpb-issues-ability-repay-final-rule-regarding-mortgage-lending2020-12-15T06:42Znever https://www.findknowdo.com/news/05/27/2014/cfpb-issues-spring-2014-rulemaking-agenda2020-12-15T06:27Znever https://www.findknowdo.com/news/07/02/2012/cfpb-notice-and-request-information-consumer-use-reverse-mortgages2020-12-15T06:59Znever https://www.findknowdo.com/news/05/09/2013/cfpb-proposes-delay-effective-date-regulation-z-provision-prohibiting-financing-credit-insurance2020-12-15T06:55Znever https://www.findknowdo.com/news/07/22/2014/cfpb-proposes-include-narrative-information-consumer-complaint-database-%28-peirce-and-lofchie-comments%292020-12-15T03:01Znever https://www.findknowdo.com/news/05/12/2014/cfpb-publishes-truth-lending-rule-new-and-improved-format2020-12-15T06:56Znever https://www.findknowdo.com/news/03/10/2015/cfpb-submits-report-arbitration-study-congress-%28-lofchie-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/11/24/2014/cfpb-updates-fall-2014-rulemaking-agenda2020-08-06T22:26Znever https://www.findknowdo.com/news/08/12/2015/cfpb-fdic-and-occ-issue-joint-enforcement-action-against-pennsylvania-bank-faulty-deposit-reconciliation-practices2020-12-15T06:47Znever https://www.findknowdo.com/news/11/29/2012/cfpb-proposed-changes-remittance-rule-and-extension-rules-effective-date2020-08-24T19:46Znever https://www.findknowdo.com/news/05/15/2015/cfs-senior-fellow-proposes-framework-quantifying-sifi-complexity-%28-lofchie-comment%292020-12-15T04:50Znever https://www.findknowdo.com/news/10/16/2014/cftc-judgment-officer-revokes-firm-registration2026-04-15T20:47Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-no-action-letter-cpos-ctas-principals-and-aps-who-file-register-december-312026-04-15T20:47Zyearly https://www.findknowdo.com/news/03/15/2013/cftc-reminds-all-swap-counterparties-april-10-deadline-obtain-a-cici-identifier2026-04-15T20:47Zyearly https://www.findknowdo.com/news/05/22/2013/cftc-reminds-firms-keep-filing-those-reports2026-04-15T20:47Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-requests-comment-regarding-activities-non-u.s.-swap-dealers-and-omalia-dissents-%28-lofchie-comment%292026-04-15T20:47Zyearly https://www.findknowdo.com/news/08/17/2012/cftc-final-rule-registration-intermediaries-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/19/2012/cftc-open-meeting-consider-proposed-interpretive-guidance-cross-border-application-certain-swaps-provisions-cea-and-a-proposal-regarding-phased-compliance-foreign-swap-dealers2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-2012-annual-performance-report-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-accepting-public-comment-amended-request-cme-adopt-new-chapter-10-%28regulatory-reporting-swap-data%29-and-new-rule-1001-%28regulatory-reporting-swap-data%29-cmes-rulebook2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/13/2015/cftc-acknowledges-end-user-issues-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/03/2014/cftc-acting-chair-wetjen-and-commissioner-omalia-issue-statements-regarding-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-acting-chairman-mark-wetjen-names-co-chiefs-staff-and-co-chief-operating-officers2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-acting-chairman-wetjen-testifies-fy-2015-presidents-budget-request-cftc-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-adaptation-regulations-incorporate-swaps-records-transactions-%28final-rule-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/31/2014/cftc-adopts-final-volcker-rule-frb-fdic-occ-and-sec-separately-adopt-joint-final-volcker-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-adopts-harmonization-rules-registered-investment-companies-%28-delta-strategy-group-description-lofchie-comment-and-mehta-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/cftc-adopts-rule-amendment-clarify-certain-responsibilities-sds-and-msps-regarding-employees-%28pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/16/2013/cftc-adopts-rules-regarding-sefs2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-advances-position-plan-more-hurdles-ahead2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc-advisory-committee-meeting-technology-advisory-subcommittee-meeting-data-standardization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2014/cftc-agricultural-advisory-committee-announces-agenda-upcoming-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/23/2013/cftc-agricultural-advisory-committee-meet-thursday2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/18/2011/cftc-aims-speculative-commodity-limits-q1-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/11/2013/cftc-also-approves-volcker-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-amends-complaint-against-banc-de-binary-ltd.-charge-three-affiliated-corporate-entities-violating-cftcs-ban-trading-options-contracts-exchange2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/06/2013/cftc-amends-letter-13-48-regarding-block-reporting-exemption-exchange-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-amends-no-action-relief-sds-and-msps-regarding-intended-be-cleared-swaps-%28cftc-letter-13-70%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/10/2015/cftc-amends-rules-relating-suspension-or-disbarment-appearance-and-practice-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/05/2014/cftc-and-australian-authorities-sign-mou-enhance-supervision-cross-border-clearing-organizations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/13/2015/cftc-and-australian-prudential-regulation-authority-sign-mou-enhance-supervision-cross-border-regulated-firms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-and-australian-securities-and-investments-commission-sign-mou-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-and-canadian-authorities-sign-mou-enhance-supervision-cross-border-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-and-ferc-implement-information-sharing-mou2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-and-financial-services-agency-japan-sign-moc-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-and-iosco-host-public-roundtable-financial-benchmarks2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/21/2014/cftc-and-manitoba-securities-commission-sign-counterpart-mou-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-and-monetary-authority-singapore-sign-mou-cross-border-swaps-dealers-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/18/2013/cftc-and-nfa-settle-charges-against-fxdirectdealer-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/31/2014/cftc-and-ofr-sign-mou-improve-data-quality-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/11/01/2011/cftc-and-sec-approve-confidential-private-fund-risk-reporting-%28final-rule%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-and-sec-approve-joint-final-rule-governing-identity-theft-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2012/cftc-and-sec-release-joint-report-congress-international-swap-regulation-%28press-release-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/28/2014/cftc-announces-agenda-tac-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/16/2014/cftc-announces-agenda-tac-meeting-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2014/cftc-announces-agenda-upcoming-global-markets-advisory-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2015/cftc-announces-agenda-upcoming-market-risk-advisory-committee-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2013/cftc-announces-appointment-melissa-jurgens-serve-secretary-commission2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-announces-approval-final-rule-recordkeeping-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-announces-beginning-third-phase-mandatory-clearing-certain-cds-and-interest-rate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2014/cftc-announces-departure-clearing-and-risk-division-director2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/08/2013/cftc-announces-departure-general-counsel-dan-m.-berkovitz-%28-pantano-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-announces-departure-legislative-affairs-director2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/24/2013/cftc-announces-departure-office-international-affairs-director-jacqueline-h.-mesa-sarah-e.-josephson-announced-new-director2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-announces-dsio-directors-departure-and-interim-director2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-announces-extension-comment-period-regarding-collecting-certain-information-involving-security-future-products-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-announces-extension-no-action-relief-concerning-certain-straight-through-processing-obligations-sefs-and-dcms-%28cftc-letter-14-121%292024-04-06T18:01Znever https://www.findknowdo.com/news/01/21/2014/cftc-announces-formation-interdivisional-working-group-review-regulatory-reporting-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/28/2014/cftc-announces-global-markets-advisory-committee-meeting-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-announces-gmac-meeting-discuss-cross-border-issues-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-announces-issuance-swap-relief-australian-entities-%28cftc-letter-14-117%29-%28-lofchie-video-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2014/cftc-announces-it-requesting-public-comment-swap-data-reporting-rules-%28pre-fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-announces-jonathan-l.-marcus-general-counsel2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2013/cftc-announces-mandatory-clearing-itraxx-cds-indices-category-2-entitites2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-announces-meeting-regarding-position-limits-trade-options-and-forwards-embedded-optionality2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-announces-members-energy-and-environmental-markets-advisory-committee2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/18/2015/cftc-announces-membership-market-risk-advisory-committee2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-announces-mutual-acceptance-approved-legal-entity-identifiers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2014/cftc-announces-national-campaign-protect-consumers-financial-fraud2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/06/2014/cftc-announces-new-market-risk-advisory-committee-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/10/2013/cftc-announces-open-meeting-cross-border-rulemaking-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/18/2012/cftc-announces-public-meeting-technology-advisory-committee2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/09/2011/cftc-announces-public-meeting-technology-advisory-committee-%28proposed-rule%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-announces-public-roundtable-discuss-dodd-frank-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/27/2014/cftc-announces-public-roundtable-discuss-position-limits-physical-commodity-derivatives2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-announces-reestablishment-global-markets-advisory-committee-and-agricultural-advisory-committee-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-announces-roundtable-discuss-dodd-frank-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/12/2014/cftc-announces-roundtable-discuss-risk-management-practices-cpos2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/16/2013/cftc-announces-sayee-srinivasan-acting-chief-economist2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2013/cftc-announces-schedule-publication-reports-delayed-government-shutdown2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/10/2014/cftc-announces-sponsors-advisory-committees2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/10/2013/cftc-announces-mandatory-clearing-category-2-entities-begins-today2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2013/cftc-announces-real-time-public-reporting-swap-transactions-and-swap-dealer-registration-began-december-31-20122026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/29/2014/cftc-announces-sds-and-msps-can-submit-risk-exposure-reports-cftc-through-nfas-winjammer-filing-system2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2010/cftc-announces-appointment-andrei-kirilenko-chief-economist2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/11/2013/cftc-announces-beginning-mandatory-clearing-certain-swap-classes-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/22/2014/cftc-announces-three-actions-clean-problems-swaps-regulations-%28-lofchie-comment%29-%28cftc-letter-14-72%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/05/2015/cftc-announces-upcoming-market-risk-advisory-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2013/cftc-announces-vincent-a.-mcgonagle-director-division-market-oversight2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/20/2013/cftc-announces-weekly-swaps-report-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/29/2015/cftc-appoints-acting-director-international-affairs2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/23/2014/cftc-appoints-gretchen-lowe-principal-deputy-director-and-chief-counsel-division-enforcement2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/24/2012/cftc-approves-phase-compliance-dodd-frank-clearing-requirements-%28press-release-and-pre-fed-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2013/cftc-approves-amendment-cantor-clearinghouse-l.p.-registration-order2024-04-06T18:05Znever https://www.findknowdo.com/news/11/21/2012/cftc-approves-application-cme-group-provisional-registration-a-swap-data-repository-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-approves-cme-rule-reporting-cme-cleared-swaps-cmes-swap-data-repository-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-approves-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/21/2012/cftc-approves-dtcc-entity-provisional-registration-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-approves-euronext-aex-index-and-cac40-index-mini-futures-contracts-be-offered-u.s.-persons2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/07/2013/cftc-approves-exemptive-order-cross-border-application-swaps-provisions-dodd-frank-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-approves-exemptive-order-cross-border-application-swaps-provisions-dodd-frank-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/29/2013/cftc-approves-final-regulations-governing-dual-and-multiple-associations-associated-persons-sds-and-msps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/18/2012/cftc-approves-final-rule-swap-data-recordkeeping-and-reporting-requirements-pre-dodd-frank-and-transition-swaps-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/18/2015/cftc-approves-final-rule-regarding-residual-interest-deadline-fcms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/17/2014/cftc-approves-lch.clearnet-limiteds-amended-order-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/30/2013/cftc-approves-limited-purpose-swap-dealer-designations-cargill-and-cargill-affiliate-subject-conditions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-approves-limited-purpose-swap-dealer-designation-state-street-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/16/2012/cftc-approves-new-financial-rules-submitted-nfa-strengthen-protection-customer-funds-held-futures-commission-merchants-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/27/2015/cftc-approves-nfa-rules-enhancing-protections-retail-forex-customers2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/26/2012/cftc-approves-notice-proposed-rulemaking-prohibiting-aggregation-orders-satisfy-minimum-block-sizes-or-cap-size-requirements-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-approves-notice-proposed-rulemaking-enhance-its-identification-futures-and-swap-market-participants-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-approves-order-remove-interest-rate-asset-class-provisional-registration-ice-trade-vault-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-approves-phased-compliance-proposal-certain-swap-regulations-%28cftc-press-release-and-chairman-genslers-statement-support%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/15/2012/cftc-approves-position-limit-appeals-%28-lofchie-comment-and-indirect-link-a-music-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/05/2013/cftc-approves-position-limits-proposal2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-approves-proposed-interpretive-guidance-cross-border-application-swaps-provisions-dodd-frank-act-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/23/2013/cftc-approves-registration-lch.clearnet-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-approves-rule-proposals-and-product-interpretation-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2011/cftc-dissent-commissioner-scott-d.-omalia-fiscal-year-2012-presidents-budget-performance-plan2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-cftc-publishes-two-new-data-sets-daily-net-position-changes2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-cftc-staff-roundtable-discussion-proposed-changes-registration-and-compliance-regime-commodity-pool-operators-and-commodity-trading-advisors2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-reducing-regulatory-burden-retrospective-review-under-e.o.-135632026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftc-budget-crunch-can-it-oversee-swaps-market2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/29/2011/cftc-cancels-open-meeting-scheduled-march-30-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-cancels-public-meeting-technology-advisory-committee-due-snow2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2012/cftc-certifies-euro-stoxx-50-volatility-index-mini-futures-contract-submitted-eurex-deutschland2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/12/2013/cftc-certifies-futures-contracts-micex-index-hang-seng-index-ftse/jse-top-40-index-and-bse-sensitive-index2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/17/2013/cftc-certifies-futures-contracts-msci-world-index-msci-europe-index-msci-japan-index-and-msci-all-countries-asia-pacific-ex-japan-index2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-certifies-nine-contracts-submitted-eurex-deutschland-%28cftc-press-release%292024-04-06T18:07Znever https://www.findknowdo.com/news/09/26/2012/cftc-certifies-sp-500-index-futures-contract-submitted-bolsa-de-valores-mercadorias-e-futuros2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-certifies-sp-bse-100-index-futures-contact2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2013/cftc-certifies-two-futures-contracts-hong-kong-futures-exchange2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/24/2015/cftc-chair-announces-new-director-division-swap-dealer-and-intermediary-oversight-%28-pantano-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/17/2015/cftc-chair-massad-advocates-larger-cftc-budget-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/05/2014/cftc-chair-massad-and-commissioner-bowen-discuss-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/03/2014/cftc-chair-massad-and-isda-ceo-omalia-discuss-sef-policy-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/17/2014/cftc-chair-massad-announces-staff-appointments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-chair-massad-continues-urging-cross-border-harmonization-swaps-rules-%28-lofchie-comment-and-wikihow-tutorial%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/30/2015/cftc-chair-massad-discusses-fine-tuning-cftc-rules-address-commercial-end-users-concerns2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-chair-massad-discusses-additional-end-users-concerns-and-cftc-priorities2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/02/2015/cftc-chair-massad-discusses-cftc-cross-border-priorities-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-chair-massad-discusses-cftc-priorities-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/09/2015/cftc-chair-massad-discusses-cftc-rulemaking-international-context-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-chair-massad-discusses-clearing-and-swaps-trading2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/20/2015/cftc-chair-massad-discusses-cross-border-harmonization-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-chair-massad-discusses-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/03/2015/cftc-chair-massad-discusses-rulemaking-priorities-including-dealer-registration-margin-and-hft2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/22/2015/cftc-chair-massad-discusses-swaps-market-framework-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/11/2015/cftc-chair-massad-discusses-ways-reduce-clearinghouse-risk2024-04-06T18:00Znever https://www.findknowdo.com/news/05/15/2015/cftc-chair-massad-sends-letter-congressman-criticizing-legislation-reauthorize-cftc2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/23/2015/cftc-chair-massad-sets-out-future-priorities-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/cftc-chair-massad-testifies-european-parliament-brussels-futures-margin-and-global-harmonization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-chair-massad-testifies-senate-agriculture-committee-regarding-cftc-funding-and-priorities-%28-delta-strategy-group-summary%292020-12-15T05:55Znever https://www.findknowdo.com/news/02/10/2015/cftc-chair-massad-testify-u.s.-house-agriculture-committee-and-appropriations-subcommittee2020-08-24T19:00Znever https://www.findknowdo.com/news/05/03/2012/cftc-chairman-gary-gensler-remarks-isdas-27th-annual-general-meeting2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/01/2012/cftc-chairman-gary-gensler-and-commissioner-jill-sommers-testify-u.s.-senate-committee-agriculture-re-mf-global-peregrine-and-oversight-fcms2020-08-24T19:53Znever https://www.findknowdo.com/news/03/05/2013/cftc-chairman-gary-gensler-and-commissioner-scott-omalia-testify-u.s.-house-representatives-committee-appropriations2020-08-24T19:43Znever https://www.findknowdo.com/news/05/10/2011/cftc-chairman-gary-gensler-announces-appointment-steven-adamske-director-public-affairs2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/14/2013/cftc-chairman-gary-gensler-delivers-speech-senate-banking-committee-%28-lofchie-comment%292020-12-15T05:59Znever https://www.findknowdo.com/news/12/12/2012/cftc-chairman-gary-gensler-says-cftc-aims-finalize-swaps-rules-mid-2013-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-chairman-gary-gensler-speaks-isda-european-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/08/2012/cftc-chairman-gary-genslers-article-libor-new-york-times2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-chairman-gary-genslers-keynote-address-dodd-frank-swaps-market-reform-sandler-oneill-global-exchange-brokerage-conference2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/15/2012/cftc-chairman-gary-genslers-remarks-derivatives-and-cross-border-application-dodd-frank-swap-market-reforms-institute-international-bankers-membership-luncheon2021-01-20T13:55Znever https://www.findknowdo.com/news/06/21/2012/cftc-chairman-gary-genslers-statement-technology-advisory-committee-meeting-2.0-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-final-rule-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-further-definition-term-swap2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-proposed-exemption-clearing-requirement-certain-swaps-executed-cooperatives2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/31/2012/cftc-chairman-gary-genslers-statement-regarding-public-roundtable-discuss-proposed-volcker-rule2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/19/2012/cftc-chairman-gary-genslers-testimony-u.s.-house-committee-financial-services2020-12-15T04:20Znever https://www.findknowdo.com/news/05/22/2012/cftc-chairman-gary-genslers-testimony-us-senate-committee-banking-housing-and-urban-affairs2024-04-06T18:07Znever https://www.findknowdo.com/news/07/09/2012/cftc-chairman-gary-gensler-statement-support-regarding-reopening-comment-period-initial-margin-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/12/2013/cftc-chairman-gensler-and-commissioner-omalia-disagree-testimony-budget-and-other-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-chairman-gensler-cites-adam-smith-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-chairman-gensler-cites-adam-smith-defense-dodd-frank-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-chairman-gensler-delivers-speech-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/09/2013/cftc-chairman-gensler-delivers-speech-about-finance-reform-progress2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2013/cftc-chairman-gensler-discusses-swaps-market-progress-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/28/2013/cftc-chairman-gensler-further-denounces-libor2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/26/2013/cftc-chairman-gensler-lashes-out-libor-cftc-roundtable-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-chairman-gensler-technology-promises-more-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/22/2013/cftc-chairman-gensler-remarks-benchmark-interest-rates2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/04/2013/cftc-chairman-gensler-remarks-libor-and-swaps-regulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-chairman-gensler-remarks-money-market-reforms2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-chairman-gensler-speaks-international-group-treasury-associations-and-u.s.-chamber-commerce-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/cftc-chairman-gensler-speaks-swaps-market-reform-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/27/2013/cftc-chairman-gensler-testifies-implementation-dodd-frank-and-its-jurisdictional-reach-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-chairman-genslers-address-securities-industry-and-financial-markets-associations-2012-annual-meeting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/21/2012/cftc-chairman-genslers-keynote-address-cross-border-application-dodd-frank-swaps-market-reforms-2012-finra-annual-conference2024-04-06T18:07Znever https://www.findknowdo.com/news/11/20/2012/cftc-chairman-genslers-message-cftcs-2012-financial-report-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2012/cftc-chairman-genslers-remarks-financial-markets-law-committee-seminar-bank-england-london2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-chairman-genslers-speech-new-era-swaps-market-reform-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2014/cftc-chairman-massad-announces-appointment-aitan-goelman-director-enforcement2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-chairman-massad-discusses-swaps-and-international-harmonization-regulations-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/29/2014/cftc-chairman-wetjen-discusses-cftc-dodd-frank-implementation-efforts-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/11/2014/cftc-chairman-wetjen-speaks-about-regulatory-regime-global-derivatives-markets-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/25/2013/cftc-changes-part-43-and-part-45-reporting-fields-certain-commodity-swaps-%28-pantano-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/26/2012/cftc-charges-prediction-market-violating-cftcs-exchange-options-trading-ban-and-filing-false-forms2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2014/cftc-charges-absa-bank-unlawfully-executing-prearranged-noncompetitive-trades-cbot2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-charges-attorney-aiding-and-abetting-illegal-metals-transactions-and-fraud2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-charges-bank-manipulation-attempted-manipulation-and-false-reporting-libor-and-euribor2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-charges-capital-market-services-llc-violating-minimum-financial-requirement-rules2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-charges-cme-and-two-former-employees-disclosing-material-nonpublic-information-about-customer-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-charges-cme-floor-broker-and-trader-violating-live-and-feeder-cattle-futures-speculative-position-limits2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/26/2014/cftc-charges-ddsc-confirming-execution-exchange-previous-metals-transactions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-charges-drw-price-manipulation-interest-rate-contract2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-charges-father-and-son-violating-speculative-position-limits-live-cattle-futures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-charges-firm-violating-financial-requirements2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-charges-florida-residents-philip-leon-paul-rangel-and-john-wilkins-and-their-company-altamont-global-partners-llc-fraud-and-misappropriation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-charges-florida-based-group-and-owners-engaging-illegal-exchange-commodity-transactions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2014/cftc-charges-former-commodities-analyst-and-firm-unauthorized-trading2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/25/2014/cftc-charges-former-risk-management-consultant-unauthorized-trading-and-concealing-trading-losses2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/20/2012/cftc-charges-grahame-rhodes-missouri-fraud-misappropriation-and-commingling-funds-multi-million-dollar-commodity-pool-ponzi-scheme2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2012/cftc-charges-houston-based-christopher-daley-and-his-company-tc-credit-service-llc-solicitation-fraud-and-misappropriation-1.4-million-dollar-commodity-pool-scheme2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-charges-icap-europe-limited-manipulation-yen-libor2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-charges-introducing-broker-failure-supervise-activities-relating-business-cftc-registrant2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-charges-jose-s.-rubio-and-his-florida-firm-rubio-wealth-management-llc-commodity-pool-fraud-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-charges-lloyds-banking-group-and-lloyds-bank-libor-manipulation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-charges-mf-global-jon-corzine-and-former-employee-edith-obrien-unlawful-misuse-nearly-one-billion-dollars-customer-funds2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2012/cftc-charges-michael-j.-leighton-torrance-calif.-1.6-million-commodity-pool-fraud2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-charges-moncada-bes-capital-llc-and-serdika-llc-attempted-manipulation-%28-mocek-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/25/2013/cftc-charges-principal-and-company-attempted-manipulation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-charges-r.j.-obrien-associates-llc-violating-customer-protection-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-charges-ronnie-gene-wilson-south-carolina-and-his-company-atlantic-bullion-coin-inc.-operating-a-90-million-silver-bullion-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/09/2012/cftc-charges-trader-defrauding-a-large-fcm-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/01/2015/cftc-charges-two-companies-manipulating-wheat-futures-and-cash-wheat-prices2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/17/2015/cftc-charges-two-individuals-and-their-companies-wash-trading2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/cftc-charges-uae-residents-spoofing-gold-and-silver-futures-markets2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/21/2015/cftc-charges-uk-trader-company-spoofing-scheme-contributed-%28allegedly%29-flash-crash-day-20102026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-closes-investigation-concerning-silver-markets-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2012/cftc-commences-90-day-review-nadexs-proposed-political-event-derivatives-contracts-%28press-release-letter%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/07/2012/cftc-comment-request-related-exemptive-order-regarding-compliance-certain-swap-regulations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-commissioner-bart-chilton-comments-effect-speculation-commodity-prices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/13/2013/cftc-commissioner-bart-chilton-delivers-speech-2013-arkansas-state-university-agribusiness-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/18/2013/cftc-commissioner-bart-chilton-delivers-speech-hedge-fund-industry-rockn-trouble-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-commissioner-bart-chiltons-statement-cross-border2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-bart-chiltons-statement-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/09/2012/cftc-commissioner-bart-chiltons-statement-futures-investor-and-customer-protection-act-%28ficpa%29-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/24/2015/cftc-commissioner-bowen-discusses-cross-border-issues-international-regulators-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-commissioner-bowen-discusses-operational-risks2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/21/2015/cftc-commissioner-bowen-issues-statement-retail-foreign-exchange-markets2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/06/2014/cftc-commissioner-bowen-names-members-her-staff2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/26/2013/cftc-commissioner-chilton-calls-benchmark-investigations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-commissioner-chilton-calls-six-month-transition-compliance-period-%28-lofchie-comment-his-own-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/04/2014/cftc-commissioner-chilton-criticizes-presidents-fy-2015-budget-funding-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/12/2013/cftc-commissioner-chilton-delivers-hot-mess-statement-technology-advisory-committee2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-commissioner-chilton-delivers-speech-international-regulators-conference-%28-lofchie-comment%292024-04-06T18:03Znever https://www.findknowdo.com/news/08/06/2013/cftc-commissioner-chilton-delivers-speech-banks-owning-physical-commodities-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/18/2013/cftc-commissioner-chilton-delivers-speech-bruce-springsteen-references2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/21/2013/cftc-commissioner-chilton-discusses-movie-back-future-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-commissioner-chilton-interview-energy-metro-desk-df-lobbying-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/21/2013/cftc-commissioner-chilton-reflects-changing-nature-financial-industry-%28-lofchie-comment-and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/03/2013/cftc-commissioner-chilton-releases-end-user-bill-rights-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/18/2013/cftc-commissioner-chilton-restates-concerns-about-penalties-passive-investment-funds-and-high-frequency-traders2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2012/cftc-commissioner-chilton-sets-out-a-rule-making-timeline-%28-lofchie-comment%29-%28and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/18/2013/cftc-commissioner-chilton-speaks-american-gas-association2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2012/cftc-commissioner-chilton-speech-%28boarding-all-rows%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-commissioner-chilton-speech-sefcon-%28bedrock-country-and-my-dog%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/14/2012/cftc-commissioner-chilton-speech-titled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-commissioner-chilton-statement-effective-compliance-date-sefs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/05/2012/cftc-commissioner-chilton-statement-speeding-dodd-frank-implementation-and-compliance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-commissioner-chilton-talks-reality-tv2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-commissioner-chilton-wants-put-boom-government-shutdown2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-commissioner-chiltons-advocates-regulation-massive-passives-and-e-traders-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/24/2013/cftc-commissioner-chiltons-keynote-address-market-cheetahs2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/21/2012/cftc-commissioner-chiltons-speech-symbols-cymbals-and-systems-a-culture-shift-conversation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/16/2012/cftc-commissioner-chiltons-statement-cftcs-appeal-court-vacating-position-limits-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftc-commissioner-chiltons-views-high-frequency-traders2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/08/2014/cftc-commissioner-giancarlo-announces-staff-appointments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/04/2015/cftc-commissioner-giancarlo-calls-progress-swaps-trading-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-commissioner-giancarlo-calls-reset-eu-and-cftc-cross-border-regulatory-relationship-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/13/2015/cftc-commissioner-giancarlo-calls-staff-advisory-13-69-be-scrapped2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-commissioner-giancarlo-challenges-restrictive-swap-trading-procedures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-commissioner-giancarlo-discusses-end-user-collateral-damage-stemming-dodd-frank-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/20/2014/cftc-commissioner-giancarlo-discusses-best-principles-financial-regulation-financial-markets-and-job-creation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2015/cftc-commissioner-giancarlo-discusses-his-white-paper-falling-oil-prices-and-cftc-priorities-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/28/2015/cftc-commissioner-giancarlo-discusses-recent-rulemakings-and-new-commission2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-commissioner-giancarlo-discusses-risks-fcm-consolidation-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-commissioner-giancarlo-discusses-perils-low-liquidity-rips-fsoc-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/13/2015/cftc-commissioner-giancarlo-questions-position-limits-rulemaking-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/29/2015/cftc-commissioner-giancarlo-releases-swaps-trading-rules-white-paper2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/10/2011/cftc-commissioner-jill-e.-sommers-act-senior-commissioner-agency-any-matters-relating-bankruptcy-mf-global-inc.-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/07/2012/cftc-commissioner-jill-sommers-addresses-cross-border-swaps-issues-%28important-announcement%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/24/2013/cftc-commissioner-jill-sommers-announces-resignation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/25/2013/cftc-commissioner-mark-p.-wetjen-speech-cross-border-issues-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2012/cftc-commissioner-mark-p.-wetjens-speech-annual-isda-north-american-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-commissioner-omalia-blasts-cross-border-guidance-and-potential-position-limits-rule-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cftc-commissioner-omalia-calls-cftc-rule-making-process-a-train-wreck2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2014/cftc-commissioner-omalia-criticizes-cftc-rulemaking-supports-customer-protection-and-end-user-relief-act-and-cross-border-issues-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-commissioner-omalia-criticizes-no-action-letters-regarding-data-reporting-rules-%28parts-43-45-and-46%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-commissioner-omalia-delivers-speech-discussing-technology-and-future-financial-standards-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/18/2013/cftc-commissioner-omalia-dissents-cftc-cross-border-guidance-statement-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2013/cftc-commissioner-omalia-gets-frank-dodd-frank-regulatory-framework-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-commissioner-omalia-issues-statement-dissent-fy-2015-budget-request-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-commissioner-omalia-issues-statement-supporting-division-enforcements-decision-seek-commission-approval-acting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/16/2013/cftc-commissioner-omalia-a-raft-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2013/cftc-commissioner-omalia-ensuring-a-backup-plan-cross-border-guidance-give-markets-certainty2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-commissioner-omalia-remarks-impact-dodd-frank-commodity-futures-and-swaps-markets-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2012/cftc-commissioner-omalia-remarks-stifling-swaps-markets-dodd-frank-rules-take-effect2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2012/cftc-commissioner-omalia-speaks-high-frequency-trading-customer-protection-and-implementation-cftc-rules-%28important-speech%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/30/2012/cftc-commissioner-omalia-speech-developing-technology-solutions-protect-segregated-customer-funds2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/20/2012/cftc-commissioner-omalia-speech2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2014/cftc-commissioner-omalia-leave-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/30/2013/cftc-commissioner-omalias-keynote-address-dodd-frank-implementation-%28important-speech-covering-a-lot-ground%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/14/2011/cftc-commissioner-omalia-remarks-fia-clearing-2011-a-derivatives-forum2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2014/cftc-commissioner-omalia-its-time-review-our-rules-and-make-necessary-changes-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-commissioner-omalia-cftc-actions-are-ad-hoc-relief-will-provide-more-reasonable-timeline-cme-market-participants2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-commissioner-omalia-approval-cme-rule-10012026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-commissioner-omalias-dissenting-statement-delegation-enforcement-authority-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-omalias-opening-statement-cross-border-guidance-and-exemptive-order-open-meeting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/24/2012/cftc-commissioner-scott-d.-omalias-remarks-problems-high-frequency-regulation-and-how-cftc-failed-good-government-test-its-swaps-rulemakings-and-cross-border-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-commissioner-scott-omalia-criticizes-cftcs-approach-cross-border-swaps-regulation-and-urges-rethink-dodd-frank-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2014/cftc-commissioner-sharon-bowen-seeks-public-comment-scope-and-composition-mrac-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-commissioner-sommers-cme-request-approval-new-chapter-10-and-new-rule-10012026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-commissioner-sommers-supports-wetjen-democratic-senators-caution-gensler-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-commissioner-wetjen-discusses-trading-mandate-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-commissioner-wetjen-discusses-ways-increase-transparency-derivatives-markets-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/05/2014/cftc-commissioner-wetjen-remarks-ccp-risk-management-issues-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/14/2015/cftc-commissioner-wetjen-resigns-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-wetjens-statement-cftc-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/13/2012/cftc-commissioners-chilton-and-sommers-dodd-frank-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/12/2014/cftc-commissioners-discuss-and-differ-cftcs-swaps-trading-rules-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-comparability-determinations-six-jurisdictions-and-related-no-action-letter-%28no-action-letter-13-75%29-%28-lofchie-comment%29-%28-lofchie-youtube-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-concept-release-supervision-and-regulation-automated-trading-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-conditional-no-action-relief-clearing-swaps-entered-eligible-treasury-affiliates-%28letter-13-22%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/05/2013/cftc-corrects-a-previously-issued-final-rule-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-corrects-comment-deadline-regarding-its-position-limits-derivatives-and-aggregation-positions-proposals-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/13/2014/cftc-corrects-typo-enhanced-customer-protection-rules-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2014/cftc-corrects-typo-proposed-aggregation-positions-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2012/cftc-court-filing-swap-definition-effective-date2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-delays-business-conduct-and-documentation-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2011/cftc-delays-vote-ownership-governance-rules-swaps-market2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/04/2012/cftc-denies-request-stay-effective-date-position-limits-rule-%28order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-designates-eris-exchange-llc-a-contract-market-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/22/2015/cftc-division-market-oversight-issues-updated-guidebook-and-appendices-part-20-reports2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/28/2012/cftc-division-market-oversight-bona-fide-hedge-treatment-under-commissions-position-limit-regulations-%28advisory-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-dodd-frank-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-dodd-frank-ex-parte-meetings-%28mostly-sef-registration%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/26/2011/cftc-dodd-frank-rulemaking2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-dodd-frank-rulemaking-open-meeting-five-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-cftc-clarifies-effective-date-swaps-regulation-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-concurrence-statement-commissioner-scott-d.-omalia-order-regarding-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-dodd-frank-rulemaking-draft-staff-no-action-letter-regarding-application-certain-cea-provisions-after-july-16-2011-available-cftc-website2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-dodd-frank-rulemaking-open-meeting-four-final-rule-proposals-and-one-proposed-rule-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-open-meeting-four-final-rule-proposals-and-one-proposed-rule-under-dodd-frank-act-%28continued%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2011/cftc-dodd-frank-rulemaking-opening-statement-commissioner-jill-e.-sommers-second-open-meeting-consider-final-rules-pursuant-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/11/2011/cftc-dodd-frank-rulemaking-pre-federal-register-release-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-remarks-chairman-gary-gensler-financial-stability-oversight-council2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-final-order-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-dodd-frank-rulemaking-final-rule-agricultural-commodity-definition2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-final-rule-prohibition-employment-or-attempted-employment-manipulative-and-deceptive-devices-and-prohibition-price-manipulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/18/2012/cftc-dsio-interpretation-family-only-llcs-are-not-a-commodity-pool-under-rule-4.10-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-letter-regarding-bona-fide-hedging-exemption-registered-investment-companies-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-no-action-letter-regarding-de-minimis-threshold-swaps-utility-special-entities-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-provides-registration-no-action-relief-aps-subject-statutory-disqualification-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-time-limited-no-action-relief-cleared-swaps-ags-exempt-commodities-and-swaps-exchanged-futures-not-counted-sd-calcs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/21/2015/cftc-energy-and-environmental-markets-advisory-committee-announces-new-associate-members2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/05/2014/cftc-enforcement-action-charges-firms-took-advantage-tight-physical-market2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2012/cftc-enforcement-action-position-limits-penalty-violating-wheat-and-cotton-futures-limits-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/03/2011/cftc-enforcement-actions-london-based-forex-capital-markets-ltd.-ordered-pay-140000-penalty-settle-cftc-charges-acting-unregistered-retail-forex-exchange-dealer2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2015/cftc-enters-order-against-florida-attorney2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/14/2013/cftc-ex-parte-meeting-segregation-and-bankruptcy2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/22/2013/cftc-ex-parte-meeting-head-supply-trading-bp-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/19/2013/cftc-ex-parte-meeting-sifma-fidelity-pimco-vanguard-goldman-sachs-asset-management-and-jp-morgan-regarding-sef-registration2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftc-ex-parte-meeting-teleconference-newedge2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/cftc-ex-parte-meeting-teraexchange2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-exclusion-commodity-pool-regulation-securitization-vehicles2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/01/2013/cftc-exemption-clearing-inter-affiliate-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-exemptive-letter-cpos-provides-consistency-jobs-act-%28cftc-letter-14-116%29-%28-lofchie-comment%292024-04-06T18:01Znever https://www.findknowdo.com/news/07/22/2013/cftc-exemptive-order-certain-swap-regulations-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/05/2014/cftc-expands-portal-capabilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/16/2014/cftc-expands-portal-capabilities-enhance-public-submissions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/08/2013/cftc-extending-period-accepting-public-comment-a-cme-request-adopt-new-chapter-10-and-new-rule-1001-cmes-rulebook2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-extends-and-expands-no-action-relief-yieldbroker-pty-limited-failing-register-sef-%28cftc-letter-14-139%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-extends-comment-period-proposed-rules-regarding-reporting-and-recordkeeping-requirements-end-users-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/04/2015/cftc-extends-comment-period-related-dco-and-sef-applications2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-extends-comment-period-certification-javelin-sef-implement-available-trade-determinations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2014/cftc-extends-conditional-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-14-70%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/20/2015/cftc-extends-designation-dtcc-swift-lei-provider2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-extends-designation-dtcc-swift-lei-provider-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/10/2014/cftc-extends-no-action-relief-package-transactions-%28cftc-letter-14-137%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-extends-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-127%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/29/2014/cftc-extends-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-157%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/13/2015/cftc-extends-no-action-relief-transaction-level-requirements-non-u.s.-swap-dealers-%28cftc-letter-15-48%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/13/2015/cftc-extends-no-action-relief-regarding-masking-certain-identifying-information-required-be-reported-%28cftc-letter-15-01%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/18/2014/cftc-extends-no-action-relief-four-foreign-clearing-organizations-%28cftc-letters-14-148-14-149-14-150-and-14-151%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/19/2013/cftc-extends-no-action-relief-japan-securities-clearing-corporation-%28cftc-letter-13-73%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-extends-no-action-relief-japan-securities-clearing-corporation-and-its-qualifying-clearing-participants-and-affiliates-%28cftc-letter-14-155%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/27/2015/cftc-extends-no-action-relief-southwest-power-pool-%28cftc-letter-15-05%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/12/2015/cftc-extends-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-15-04%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/09/2014/cftc-extends-public-comment-period-proposed-rules-aggregation-policy2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-extends-relief-applicability-transaction-level-requirements-certain-cross-border-swaps-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/03/2014/cftc-extends-comment-period-certain-aspects-proposed-rules-position-limits-and-aggregation-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-extends-time-compliance-certain-pre-trade-screening-requirements-bunched-orders-futures-%28letter-13-21%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-extends-time-limited-no-action-relief-eurex-clearing-%28cftc-letter-14-27%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-extends-time-limited-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-13-67%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-extends-time-limited-no-action-relief-sds-and-msps-compliance-reporting-obligations-%28letter-13-34%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-aima-discussing-capital-and-margin2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-external-meeting-american-securitization-forum-discuss-commodity-pool-regulation-exemption-securitization-vehicles2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/21/2012/cftc-external-meeting-chatham-financial2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2013/cftc-external-meeting-institute-international-bankers2021-01-20T13:55Znever https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-japanese-commissioner-discussing-market-abuse-and-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-jp-morgan-regarding-cross-border-guidance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-external-meeting-lch.clearnet2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-mfa-discussing-jobs-act-cross-border-block-trades-and-margin2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-external-meeting-morgan-stanley-discuss-business-conduct2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2012/cftc-external-meeting-new-york-systems-operator-%28nyiso%29-regarding-commissions-proposed-iso/rto-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-noble-americas-corp.-regarding-capital-requirements-and-margin-proposal-uncleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-noble-energy-inc.-regarding-bcbs-iosco-consultative-paper-and-cftc-proposal-margin-uncleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-external-meeting-sifma-asset-management-group2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/30/2012/cftc-external-meeting-commodity-markets-council2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/23/2013/cftc-external-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/12/2013/cftc-external-meetings-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/27/2012/cftc-external-meetings-regarding-sef-registration2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-external-meetings-bp-sifma-icap-bank-america-icap-and-citigroup2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-eyes-how-build-bulletproof-id-system2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-final-rule-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-joint-final-rules-and-interpretations-defining-swap-security-based-swap-and-security-based-swap-agreement...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-proposed-rule-exempt-certain-swaps-executed-cooperatives-swap-clearing-requirement2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/17/2014/cftc-fees-enforcement-programs-dcms-and-registered-futures-associations-published-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/01/2012/cftc-files-a-general-creditor-claim-liquidation-mf-global2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-files-amended-complaint-regarding-defendants-false-statements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/18/2013/cftc-files-complaint-against-audit-firm-fcm2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-files-complaint-against-u.s.-bank-alleging-unlawful-use-peregrines-customer-segregated-funds-and-violation-customer-segregation-laws2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-files-complaint-alleging-fraud-misappropriation-customer-funds-violation-customer-fund-segregation-laws-and-making-false-statements-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-files-complaint-charging-floor-broker-violating-a-cftc-order-relating-nymex-crude-oil-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/17/2014/cftc-files-supplemental-declaration-cftc-cross-border-guidance-case2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2012/cftc-final-rule-amending-existing-regulations-incorporate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/02/2012/cftc-final-rule-amending-existing-regulations-incorporate-swaps-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/22/2013/cftc-final-rule-clearing-exemption-certain-swaps-entered-cooperatives-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/24/2015/cftc-final-rule-regarding-residual-interest-deadline-fcms-published-federal-register2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-final-rule-swap-dealers-and-major-swap-participants-clerical-or-ministerial-employees-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2014/cftc-finalizes-rule-swaps-special-entity-utilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/20/2015/cftc-fines-firms-violating-cocoa-position-limits-and-unlawfully-executing-noncompetitive-trades2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/11/2015/cftc-fines-agricultural-trading-company-call-cotton-reporting-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-fines-bank-settling-charges-relating-rules-and-regulations-pertaining-segregated-and-secured-amount-funds2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/15/2015/cftc-fines-cpo-registration-and-reporting-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-fines-fcm-failing-diligently-supervise-its-employees-and-correct-defective-software-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/06/2015/cftc-fines-fcm-violations-customer-protection-rule-cleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-fines-firm-a-series-minimum-net-capital-deficits-untimely-notice-and-a-failure-supervise-resulted-partly-technology-failures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-fines-firm-reporting-and-recordkeeping-violations-supervision-failures-and-improper-investment-customer-segregated-funds2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/23/2015/cftc-fines-firm-reporting-commodity-positions-multiple-grains-inaccurately-%28-pantano-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-fines-firm-supervision-and-records-failures-relating-its-know-its-customer-procedures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/27/2014/cftc-fines-foreign-firm-unlawfully-executing-prearranged-noncompetitive-trades-cbot2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2014/cftc-fines-global-futures-forex-violating-minimum-financial-requirement-rules2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-fines-introducing-broker-supervisory-violations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/08/2011/cftc-fines-newedge-violating-cattle-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/16/2015/cftc-fines-risk-management-firm-acting-unregistered-cta2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/02/2014/cftc-fines-russian-bank-president-making-false-statements-cftc-staff2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/27/2014/cftc-further-extends-comment-period-proposed-rules-position-limits-and-aggregation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/28/2013/cftc-fy-2013-schedule-fees-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-global-markets-advisory-committee-announces-agenda-upcoming-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/28/2015/cftc-global-markets-advisory-committee-announces-meeting-clearinghouses-and-margin-requirements2024-04-06T17:59Znever https://www.findknowdo.com/news/10/09/2014/cftc-global-markets-advisory-committee-meeting-regarding-non-deliverable-fx-forwards-and-bitcoins-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/25/2014/cftc-global-markets-advisory-committee-discuss-mandatory-fx-clearing-and-bitcoin2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-global-markets-advisory-subcommittee-foreign-exchange-markets-submits-report2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2015/cftc-grants-cpo-exemptive-relief-annual-report-requirement-%28cftc-letter-15-45%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/05/2015/cftc-grants-extension-comment-period-amending-position-limits-nyiso-zone-g-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftc-grants-first-exemption-registration-dco-under-new-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/17/2013/cftc-grants-french-entity-registration-a-derivatives-clearing-organization2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-grants-new-york-portfolio-clearing-llc-registration-a-derivatives-clearing-organization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-grants-no-action-relief-cftc-letter-14-49-cpo-additional-proprietary-funds-%28cftc-letter-14-125%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2014/cftc-grants-no-action-relief-regarding-cpo-registration-under-new-streamlined-approach-%28cftc-letter-14-71%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2014/cftc-grants-no-action-relief-cpo-requirement-audit-financial-statements-annual-report-%28cftc-letter-14-19%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-grants-no-action-relief-sgx-dc-and-its-clearing-members-%28cftc-letter-13-74%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/14/2013/cftc-grants-order-ice-clear-credit-permitting-portfolio-margining-swaps-and-security-based-swaps-a-cleared-swaps-customer-account-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-grants-order-ice-clear-europe-ltd.-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2015/cftc-grants-order-ice-clear-europe-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-grants-order-ice-clear-europe-permitting-portfolio-margining-swaps-and-security-based-swaps-a-cleared-swaps-customer-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-grants-singapore-exchange-derivatives-clearing-ltd.-registration-derivatives-clearing-organization2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/09/2014/cftc-holds-agricultural-advisory-committee-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/27/2015/cftc-holds-energy-and-environmental-markets-advisory-committee-meeting-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-holds-ex-parte-meeting-full-physical-segregation-working-group2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/21/2013/cftc-holds-external-meetings-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2015/cftc-holds-global-markets-advisory-committee-meeting-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/13/2014/cftc-holds-global-markets-advisory-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/10/2014/cftc-holds-global-markets-advisory-committee-meeting-regarding-non-deliverable-fx-forwards-and-bitcoins-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/22/2014/cftc-holds-gmac-meeting-discuss-coordination-foreign-regulators-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/20/2014/cftc-holds-public-roundtable-position-limits-physical-commodity-derivatives-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2015/cftc-holds-roundtable-discussion-cybersecurity-and-system-safeguards-testing-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-holds-roundtable-discussion-recovery-and-orderly-wind-down-dcos-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/04/2014/cftc-holds-roundtable-dodd-frank-end-user-issues-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2014/cftc-holds-tac-meeting-focusing-sef-issues-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-holds-tac-meeting-regarding-sef-issues-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/05/2014/cftc-holds-technology-advisory-committee-meeting-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/02/2015/cftc-hosts-first-market-risk-advisory-committee-meeting-%28-delta-strategy-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/13/2014/cftc-hosts-public-roundtable-trade-execution-requirement-and-package-transactions-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/06/2011/cftc-inches-toward-compromise-commodity-trading-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/04/2013/cftc-industry-roundtable-segregation-and-bankruptcy-and-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-information-collection-activities-under-review-omb-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/30/2013/cftc-interpretation-concerning-retail-commodity-transactions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/20/2012/cftc-interpretation-regarding-meaning-unfilled-anticipated-requirements-purposes-bona-fide-hedging-under-position-limit-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2013/cftc-issued-advisory-regarding-obligation-submit-accurate-form-204-reports-cash-positions-certain-agricultural-goods2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2014/cftc-issues-a-time-limited-no-action-letter-regarding-cds-clearing-swaps-%28cftc-letter-13-86%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/07/2014/cftc-issues-a-time-limited-no-action-letter-regarding-fcm-holding-foreign-futures-secured-amount-outside-u.s.-%28cftc-letter-14-08%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-advisory-concerning-ctas-provide-advice-swaps-%28cftc-letter-13-79%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-issues-advisory-applicability-transaction-level-requirements-certain-cross-border-situations-%28cftc-letter-13-69%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/26/2014/cftc-issues-advisory-energy-transactions-%28cftc-letter-14-20%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/23/2015/cftc-issues-advisory-reminding-certain-parties-their-reporting-obligations-pursuant-ocr-final-rule-%28cftc-letter-15-14%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-issues-amended-no-action-letter-pay-play-rules-swap-dealers-conducting-business-certain-governmental-special-entities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/01/2013/cftc-issues-amended-order-designating-provider-leis-be-used-recordkeeping-and-swap-data-reporting-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/21/2013/cftc-issues-amended-registration-order-natural-gas-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/07/2013/cftc-issues-advisory-pertaining-effective-date-clearing-exemption-swaps-between-certain-affiliated-entities-%28letter-no.-13-23%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/31/2014/cftc-issues-clarification-regarding-comments-position-limits-physical-commodity-derivatives-and-aggregation-proposals2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-issues-clearing-determination-certain-credit-default-swaps-and-interest-rate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2014/cftc-issues-conditional-no-action-relief-respect-swaps-trading-multilateral-trading-facilities-european-exchanges-%28cftc-letter-14-46%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2012/cftc-issues-consumer-advisory-alerting-public-possible-precious-metals-fraud-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/30/2014/cftc-issues-correcting-amendments-enhancing-customer-protections-rules-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-issues-correction-no-action-letter-13-45-regarding-certain-risk-mitigation-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/16/2013/cftc-issues-correction-procedures-federal-register-establishes-appropriate-minimum-block-sizes-large-notional-facility-swaps-and-block-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2014/cftc-issues-corrections-sd-and-msp-requirements-regarding-risk-management-programs-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-issues-cpo-registration-relief-entity-acting-directed-trustee-%28cftc-letter-14-146%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/19/2014/cftc-issues-cpo-registration-relief-issuers-certain-insurance-linked-securities-%28cftc-letter-14-152%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-issues-exemption-pools-relating-independent-auditing-financial-statements-%28cftc-letters-14-97-14-98-and-14-99%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/15/2015/cftc-issues-exemption-cpo-regarding-annual-reporting-requirements-pool-one-investor-%28cftc-letter-15-28%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-issues-exemption-hksfc-permitting-u.s.-customers-deal-directly-hong-kong-fcms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/29/2014/cftc-issues-exemptions-cpos-independent-auditing-and-other-annual-reporting-requirements-%28cftc-letters-14-100-14-101-14-102-and-14-103%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/24/2014/cftc-issues-exemptive-letter-regarding-annual-report-filing-deadline-cpo-%28cftc-letter-14-06%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-exemptive-letter-certain-registered-cpos-regarding-filing-form-cpo-pqr-%28cftc-letter-14-115%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-exemptive-letter-cpos-expanding-list-permissible-third-party-recordkeepers-%28cftc-letter-14-114%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/14/2014/cftc-issues-exemptive-relief-cpo-respect-annual-report-filing-and-certification-requirements-%28cftc-letter-14-47%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-issues-exemptive-relief-cpo-relating-annual-report-and-certification-requirements-%28cftc-letter-14-30%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-issues-extension-no-action-relief-fcms-%28cftc-letter-14-45%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/29/2013/cftc-issues-extension-rto/iso-no-action-relief-%28letter-13-05%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/24/2014/cftc-issues-extension-swap-data-reporting-relief-certain-sds-and-msps-six-jurisdictions2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-issues-extension-temporary-relief-concerning-deposit-customer-funds-hong-kong-depositories-%28cftc-letter-14-120%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-extension-time-limited-no-action-relief-concerning-bespoke-or-complex-swaps-%28letter-13-35%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-extension-time-limited-no-action-relief-sds-and-msps-reporting-requirements-part-45-cds-clearing-related-swaps-%28letter-13-36%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2014/cftc-issues-extension-no-action-letter-applicability-transaction-level-requirements-certain-cross-border-situations-%28cftc-letter-14-74%29-%28-flynn-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/25/2014/cftc-issues-extensions-two-no-action-letters-regarding-dco-and-dcm-%28cftc-letters-14-85-and-14-86%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/19/2011/cftc-issues-final-order-amending-effective-date-swap-regulation-%28order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2012/cftc-issues-final-order-amending-effective-date-swap-regulation-order-issued-july-14-2011-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-final-order-exempt-certain-non-financial-energy-derivative-transactions-between-government-and/or-cooperatively-owned-electric-utilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-final-order-exempt-certain-specified-transactions-regional-transmission-organizations-and-independent-system-operators2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-issues-final-rule-13-49-exempting-qualified-cooperatives-clearing-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-issues-final-rule-regarding-collateral-protection-uncleared-swaps-%28pre-fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-issues-final-rule-regarding-protection-uncleared-swaps-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-issues-final-rules-derivatives-clearing-organizations-align-international-standards-%28pre-fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/12/2013/cftc-issues-final-rules-implementing-enhanced-risk-management-systemically-important-derivatives-clearing-organizations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/20/2014/cftc-issues-first-whistleblower-award2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/26/2015/cftc-issues-foreign-board-trade-orders-ice-futures-canada-inc.-and-montreal-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/18/2014/cftc-issues-four-no-action-letters-regarding-filing-requirements-cpos-%28cftc-letters-14-51-14-52-14-53-14-54%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/02/2014/cftc-issues-four-no-action-letters-regarding-filing-requirements-cpos-%28cftc-letters-14-63-14-64-14-65-14-66%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-issues-four-no-action-letters-cpos-regarding-annual-report-requirements-%28cftc-letters-15-10-15-11-15-12-and-15-13%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/03/2015/cftc-issues-four-no-action-letters-cpos-regarding-reporting-requirements-%28cftc-letters-15-06-15-07-15-08-and-15-09%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-issues-further-guidance-application-its-rules-sefs-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-further-no-action-relief-certain-u.s.-banks-wholly-owned-non-u.s.-swap-dealers-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-issues-guidance-sefs-calculation-projected-operating-costs-%28cftc-letter-15-26%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/20/2014/cftc-issues-guidance-australian-clearing-agency-regarding-trade-reporting-%28cftc-letter-14-17%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/05/2011/cftc-issues-interpretation-concerning-dodd-frank-anti-fraud-authority-%28press-release-interpretation%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/23/2013/cftc-issues-interpretation-concerning-retail-commodity-transactions-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2014/cftc-issues-interpretative-guidance-regarding-auditor-independence-%28cftc-letter-14-40%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2014/cftc-issues-interpretive-guidance-regarding-customer-margin-deposits-submitted-using-automated-clearing-house-payment-processing-systems-%28cftc-letter-14-129%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-interpretive-letter-life-insurance-companies-investing-general-account-assets-%28cftc-letter-14-113%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-isda-no-action-letter-providing-pre-trade-mid-market-marks-certain-cds-and-interest-rate-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-issues-isda-no-action-relief-sds-and-msps-compliance-valuation-reporting-obligations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/13/2012/cftc-issues-isda-time-limited-no-action-relief-part-45-post-allocation-swap-timing-requirement2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/20/2013/cftc-issues-limited-no-action-relief-required-clearing-partial-novations-and-terminations-swaps-%28cftc-letter-no.-13-02%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-issues-more-temporary-sef-registrations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/01/2013/cftc-issues-no-action-letter-%28cftc-letter-13-12%29-regarding-obligation-provide-pre-trade-marks-certain-fx-transactions-%28-lofchie-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2014/cftc-issues-no-action-letter-delaying-temporarily-registration-australian-clearing-organization-%28cftc-letter-14-07%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/28/2014/cftc-issues-no-action-letter-extending-relief-sgx-dc-and-its-clearing-members-%28cftc-letter-14-41%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/19/2014/cftc-issues-no-action-letter-clearing-corporation-india-ltd.-%28cftc-letter-14-107%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/08/2014/cftc-issues-no-action-letter-cpos-certain-commodity-pools-not-registered-investment-companies-%28cftc-letter-14-112%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-no-action-letter-japan-securities-clearing-corporation-and-its-clearing-participants2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-no-action-letter-operators-investment-pools-invest-legacy-securitization-vehicles-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-issues-no-action-letter-operators-mortgage-reits-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-no-action-letter-singapore-exchange-derivatives-clearing-limited-and-its-clearing-members2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-letter-applicablity-oral-recording-requirements-certain-members-sefs-%28cftc-letter-13-77%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-no-action-letter-treatment-swap-transactions-certain-non-u.s.-persons-purposes-making-calculations-under-swap-dealer-definition-%28cftc-letter-13-64%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-no-action-letter-providing-registration-relief-certain-introducing-brokers-and-commodity-trading-advisors-involved-swaps-activities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-issues-no-action-letter-providing-relief-cpos-reporting-requirement-%28cftc-letter-14-24%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/26/2013/cftc-issues-no-action-letter-providing-relief-non-u.s.-sds-certain-cea-transaction-level-requirements-%28cftc-letter-13-71%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-no-action-letter-providing-time-limited-registration-relief-certain-aps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/24/2014/cftc-issues-no-action-letter-regarding-format-acknowledgment-letters-and-daily-reports-%28cftc-letter-14-55%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/08/2014/cftc-issues-no-action-letter-regarding-requirement-register-a-cpo-%28cftc-letter-14-104%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/18/2014/cftc-issues-no-action-letter-cme-regarding-written-acknowledgment-requirements-%28cftc-letter-14-106%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/26/2014/cftc-issues-no-action-letter-korea-exchange-%28cftc-letter-14-87%292024-04-06T18:02Znever https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-letter-mitsui-regarding-chief-compliance-officer-annual-reporting-requirements-%28cftc-letter-14-32%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2015/cftc-issues-no-action-letters-australian-qualifying-licensed-markets-and-australian-swaps-trading-platform-%28-cftc-letters-15-29-15-30%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-issues-no-action-letters-cpos-regarding-periodic-reporting-requirements-%28cftc-letters-15-16-15-17-15-18-15-19-and-15-20%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-no-action-relief-%28letter-13-03%29-certain-fcms-concerning-annual-reports-chief-compliance-officers-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/05/2013/cftc-issues-no-action-relief-%28letter-13-08%29-reporting-and-recordkeeping-trade-options2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-issues-no-action-relief-and-interpretations-regarding-holding-customer-funds-%28cftc-letter-14-138%292024-04-06T18:01Znever https://www.findknowdo.com/news/12/17/2012/cftc-issues-no-action-relief-concerning-a-cta-subsidiary-a-registered-cta2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-issues-no-action-relief-amended-legacy-swaps-between-swap-dealers-and-special-purpose-vehicles-%28cftc-letter-15-21%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-issues-no-action-relief-canadian-swap-dealers-regarding-quarterly-risk-exposure-reports-%28cftc-letter-14-73%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-no-action-relief-certain-fcms-concerning-annual-reports-ccos2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/20/2012/cftc-issues-no-action-relief-certain-u.s.-banks-wholly-owned-non-u.s.-sds-purposes-de-minimis-exemption-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-dealers-five-jurisdictions-certain-entity-level-internal-business-conduct-requirements-%28cftc-letter-13-78%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/18/2014/cftc-issues-no-action-relief-designated-contract-markets-%28cftc-letter-14-50%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/25/2014/cftc-issues-no-action-relief-family-offices-cta-registration-%28cftc-letter-14-143%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/15/2015/cftc-issues-no-action-relief-swap-dealers-and-major-swap-participants-compliance-reporting-obligations-%28cftc-letter-15-38%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-relief-swaps-trading-multilateral-trading-facilities-overseen-competent-authorities-designated-eu-member-states-%28cftc-letter-14-31%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-issues-no-action-relief-university-cpo-registration-failure-%28cftc-letter-14-29%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/06/2015/cftc-issues-no-action-relief-cco-swap-dealer-reporting-line-requirements-%28cftc-letter-14-158%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-dealer-de-minimis-test-swaps-entered-persons-registered-floor-traders-%28cftc-letter-13-80%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2015/cftc-issues-no-action-relief-electronic-reporting-requirements-ocr-final-rule-%28letter-15-03%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-issues-no-action-relief-financial-statement-requirements-cpo-ils-vehicle-%28cftc-letter-14-145%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/21/2013/cftc-issues-no-action-relief-providing-alternative-fingerprinting-establish-fitness-associated-persons-residing-outside-u.s.-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-no-action-relief-providing-alternative-fingerprinting-establish-fitness-principals-residing-outside-united-states2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/19/2014/cftc-issues-no-action-relief-regarding-documentation-confirmations-uncleared-swap-transactions-%28cftc-letter-14-108%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2014/cftc-issues-no-action-relief-regarding-electronic-reporting-requirements-ocr-final-rule-%28cftc-letter-14-95%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-issues-no-action-relief-regarding-exemption-production-payment-vehicles-cpo-regulation-%28cftc-letter-14-96%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-regarding-introducing-brokers-compliance-certain-financial-reporting-and-capital-computation-requirements-%28cftc-letter-13-82%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/22/2015/cftc-issues-no-action-relief-regarding-trade-confirmation-requirements-reporting-and-erroneous-swap-trades-%28cftc-letters-15-24-and-15-25%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/29/2014/cftc-issues-no-action-relief-relating-certain-cds-clearing-related-swaps-executed-pursuant-a-cds-settlement-price-process-%28cftc-letter-14-119%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-no-action-relief-applicant-seeking-temporary-registration-sef-%28cftc-letter-13-63%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-issues-no-action-relief-cpo-annual-report-requirements-%28cftc-letter-14-37%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2014/cftc-issues-no-action-relief-cpo-annual-reporting-requirements-%28cftc-letter-14-61%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-issues-no-action-relief-cpo-reporting-requirements-%28cftc-letter-14-128%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/17/2014/cftc-issues-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-48-and-14-49%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-issues-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-58-and-14-59%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/04/2014/cftc-issues-no-action-relief-fannie-mae-and-freddie-mac-%28cftc-letter-14-111%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/26/2014/cftc-issues-no-action-relief-fcms-%28cftc-letter-14-88%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2015/cftc-issues-no-action-relief-fcms-sds-and-msps-extending-time-file-cco-annual-report-%28cftc-letter-15-15%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-issues-no-action-relief-guaranteed-introducing-broker-%28cftc-letter-14-133%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-hbap-during-pendency-de-registration-application-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-issues-no-action-relief-ice-clear-europe-and-lch.clearnet-regarding-customer-accounts-held-bank-england-%28cftc-letters-14-123-and-14-124%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-issues-no-action-relief-introducing-brokers-certain-financial-reporting-requirements-%28cftc-letter-15-02%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/05/2015/cftc-issues-no-action-relief-market-participants-providing-services-international-financial-institutions-%28cftc-letter-15-37%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/17/2014/cftc-issues-no-action-relief-nonprofit-registering-cpo-%28cftc-letter-14-28%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-issues-no-action-relief-otc-clearing-hong-kong-limited-failing-register-a-dco-%28cftc-letter-14-68%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2014/cftc-issues-no-action-relief-southwest-airlines-regarding-reporting-obligations-%28cftc-letter-14-134%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/20/2014/cftc-issues-no-action-relief-southwest-power-pool-%28cftc-letter-14-18%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-relief-trueex-requirement-record-oral-communications-%28cftc-letter-14-33%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2013/cftc-issues-no-action-relief-two-fcms-regard-oral-recording-requirements-%28cftc-letter-13-72%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-13-76%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/14/2015/cftc-issues-notice-inviting-whistleblowers-apply-awards2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-issues-notice-covered-action-multiple-firms2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-issues-notice-expiration-cross-border-exemptive-relief-%28lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/13/2014/cftc-issues-notice-temporary-registration-sef-clear-markets-north-america-inc.2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-issues-notice-temporary-registration-sefs-swapex-llc-gfi-swaps-exchange-llc-and-marketaxess-sef-corp.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2013/cftc-issues-notice-temporary-sef-registration-360-trading-networks-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/04/2013/cftc-issues-notice-temporary-sef-registration-chicago-mercantile-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/17/2014/cftc-issues-notice-temporary-sef-registration-gtx2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/09/2014/cftc-issues-notice-temporary-sef-registration-igdl2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-issues-notice-temporary-sef-registration-infx-sef-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-issues-notice-temporary-sef-registration-javelin-sef-llc-and-bgc-derivative-markets-l.p.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-issues-notice-temporary-sef-registration-latam-sef-llc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-issues-notice-temporary-sef-registration-teraexchange-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-issues-notice-temporary-sef-registration-thomson-reuters-llc-and-icap-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-issues-notice-temporary-sef-registration-tpsef-inc.-and-tradition-sef-inc.-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-issues-notice-quantitative-messaging-research2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2014/cftc-issues-notice-renewing-collection-information-large-trader-reporting-physical-commodity-swaps-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-issues-notices-temporary-registration-tw-sef-llc-and-dw-sef-llc-swap-execution-facilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-issues-order-against-rabobank-libor-manipulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-issues-order-provisional-registration-a-swap-data-repository-ice-trade-vault-llc-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/02/2013/cftc-issues-order-registration-natural-gas-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2015/cftc-issues-order-registration-tokyo-commodity-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-issues-orders-registration-bursa-malaysia-derivatives-berhad-and-singapore-exchange-derivatives-trading-limited2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/18/2015/cftc-issues-proposed-order-exempt-certain-transactions-regional-transmission-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/12/2013/cftc-issues-proposed-position-limits-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/03/2013/cftc-issues-proposed-position-limits-rule-derivatives-%28pre-fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-issues-proposed-rule-cross-border-margin-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/29/2015/cftc-issues-proposed-rule-cross-border-margin2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/05/2013/cftc-issues-proposed-rule-require-ibs-cpos-and-ctas-become-members-a-registered-futures-association2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/14/2012/cftc-issues-proposed-swaps-report-public-comment-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-issues-relief-certain-recordkeeping-requirements-under-rule-1.35%28a%29-%28cftc-letter-14-147%29-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/24/2014/cftc-issues-rule-enforcement-reviews-cbot-cme-nymex-and-comex2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/28/2014/cftc-issues-rule-interpretation-concerning-deposit-customer-funds-u.k.-depositories-%28cftc-letter-14-110%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-issues-six-exemptive-no-action-letters-regarding-cpo-disclosure-and-reporting-requirements-%28cftc-letters-15-31-15-36%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/07/2015/cftc-issues-six-exemptive-no-action-letters-regarding-cpos-audit-and-reporting-requirements-%28cftc-letters-15-39-15-44%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-issues-staff-guidance-impartial-access-sefs-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-issues-staff-advisory-and-no-action-relief-regarding-cco-annual-report-%28cftc-letters-14-153-and-14-154%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2014/cftc-issues-staff-advisory-best-practices-consumer-privacy-%28cftc-letter-14-21%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-issues-staff-guidance-swaps-straight-through-processing-%28-delta-strategy-group-summary%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/10/2015/cftc-issues-supplements-swaps-related-rulemaking-clarify-costs-and-benefits-requests-comments-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-technical-amendments-cftc-no-action-letter-13-552026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2014/cftc-issues-temporary-extension-no-action-letter-13-41-regarding-recordkeeping-and-reporting-requirements-%28letter-14-89%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-issues-temporary-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-91%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/01/2014/cftc-issues-temporary-no-action-relief-sds-and-msps-compliance-reporting-obligations-%28cftc-letter-14-90%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-issues-temporary-registration-swap-execution-facility-bloomberg-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/11/2014/cftc-issues-ten-no-action-letters-regarding-requirement-register-a-cpo-%28cftc-letters-14-75-through-14-84%29-%28-mehta-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/07/2014/cftc-issues-three-no-action-letters-granting-relief-cpos-annual-financial-report-filings-%28cftc-letters-14-09-14-10-and-14-11%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2014/cftc-issues-three-no-action-letters-granting-relief-cpos-annual-financial-report-filings-%28cftc-letters-14-42-14-43-and-14-44%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-issues-three-no-action-letters-regarding-written-acknowledgement-requirements-%28cftc-letters-14-92-14-93-and-14-94%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/04/2013/cftc-issues-three-time-limited-extensions-relating-sefs-%28cftc-letters-13-55-13-56-and-13-58%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-fcms-and-sefs-%2813-62%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-regarding-treatment-swap-transactions-persons-engaging-floor-trader-activities-%2813-61%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-relief-temporarily-registered-sefs-and-designated-contract-markets-one-business-day-product-review-period-requirement-%2813-60%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-issues-time-limited-no-action-relief-reporting-prime-brokerage-swaps-under-cftc-rules-parts-43-and-452026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-issues-time-limited-no-action-relief-sds-and-msps-reporting-provisions-cftc-rules-part-45-cds-clearing-related-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-certain-swap-documentation-standards-fx-counterparties-%28letter-13-38%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-portfolio-reconciliation-requirements-applies-all-sds-and-msps-%28letter-13-40%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-permitting-parts-20-45-and-46-reporting-counterparties-mask-identifying-information-pursuant-non-u.s.-law-%28letter-13-41%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/26/2012/cftc-issues-time-limited-no-action-relief-regarding-certain-recordkeeping-obligations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-time-limited-no-action-relief-regarding-treatment-swap-transactions-natural-gas-exchange-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-issues-time-limited-no-action-relief-regarding-treatment-swap-transactions-persons-engaging-floor-trader-activities-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-time-limited-no-action-relief-gtx-sef-llc-%28cftc-letter-13-65%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-time-limited-no-action-relief-provide-certain-exemptive-relief-consistent-expiring-july-2012-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-time-limited-no-action-relief-compo-equity-total-return-swaps-%28-lofchie-comment%292024-04-06T18:05Znever https://www.findknowdo.com/news/12/21/2012/cftc-issues-time-limited-no-action-relief-reporting-certain-non-reporting-counterparty-information-pursuant-parts-45-and-462026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/28/2014/cftc-issues-trade-execution-mandate-additional-interest-rate-and-credit-default-swaps-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2014/cftc-issues-trade-execution-mandate-additional-interest-rate-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/30/2014/cftc-issues-trade-execution-mandate-certain-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/17/2014/cftc-issues-trade-execution-mandate-certain-interest-rate-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-issues-two-extensions-no-action-relief-lch-and-nodal-%28cftc-letters-14-38-and-14-39%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/07/2014/cftc-issues-two-no-action-letters-extending-relief-certain-affiliated-counterparties-%28cftc-letters-14-135-and-14-136%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-report-requirements-%28cftc-letters-14-13-and-14-14%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/28/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-reporting-requirements-%28cftc-letters-14-22-and-14-23%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-pools-organized-delaware-statutory-trusts-%28cftc-letters-14-35-and-14-36%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2013/cftc-issues-two-no-action-letters-regarding-cco-reporting-requirements-%28cftc-letters-13-84-and-13-85%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/01/2014/cftc-issues-two-notices-covered-action2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/01/2014/cftc-issues-two-notices-covered-action-hunter-wise-commodities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-issues-two-staff-letters-and-amends-nadex-dco-registration-order-%28cftc-letters-14-04-and-14-05%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-issues-two-temporary-exemptions-clearing-requirement-swaps-%28i%29-affiliated-counterparties-and-%28ii%29-cooperatives2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2014/cftc-issues-two-time-limited-no-action-letters-certain-affiliated-counterparties-%28cftc-letters-14-25-and-14-26%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/04/2012/cftc-legal-entity-identifier-monopoly-granted-dtcc-swift-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2012/cftc-letter-12-02-sections-20.3-and-20.4-no-action2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2013/cftc-letter-13-47-exempts-clearing-certain-swaps-entered-cooperatives-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/06/2015/cftc-levels-charges-illegal-trading-scheme2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-likely-tap-industry-body-enforce-swaps-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/19/2011/cftc-limits-commodity-speculation-may-wait-until-early-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2011/cftc-limits-plan-could-give-rise-smaller-firms2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/10/2011/cftc-market-definitions-held-rules-move2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/13/2015/cftc-market-risk-advisory-committee-meet2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-meeting-october-25th-cancelled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-meeting-scheduled-september-12-has-been-cancelled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/18/2012/cftc-meeting-today-fact-sheets-and-qas-attached2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-meeting-bank-group-and-swap-dealers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-meeting-technology-advisory-committee-%28july-26-2012%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/18/2011/cftc-meetings2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/22/2010/cftc-names-flash-crash-expert-chief-economist2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/16/2013/cftc-names-christopher-ehrman-director-whistleblower-office2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2013/cftc-names-mark-p.-wetjen-its-acting-chairman-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/25/2014/cftc-names-new-secretary-%28-lofchie-video-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/04/2011/cftc-needs-plan-b-costly-swaps-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-no-action-letter-%2813-39%29-providing-relief-swap-dealers-connection-fx-prime-brokerage-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-no-action-letter-%2814-01%29-application-transaction-level-requirements-non-u.s.-swap-dealers-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-no-action-letter-%2814-34%29-raises-de-minimis-threshold-swaps-utility-special-entities-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/30/2013/cftc-no-action-letter-13-48-involving-relief-prohibition-aggregation-large-notional-facility-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/23/2013/cftc-no-action-letter-13-50-provides-additional-delay-portfolio-reconciliation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/05/2013/cftc-no-action-letter-13-51-cpos-sec-registered-investment-companies-having-subs-are-controlled-foreign-corporations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2013/cftc-no-action-letter-13-52-lch.clearnet-ltd-and-clearing-members2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-no-action-letter-cftc-staff-allows-bursa-malaysia-derivatives-berhads-futures-contract-based-ftse-bursa-malaysia-kuala-lumpur-composite-index-be-offered-and-sold-united-stat2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/20/2012/cftc-no-action-letter-extending-deadline-compliance-swap-data-reporting-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/06/2012/cftc-no-action-letter-obligation-providing-a-pre-trade-mid-market-mark-certain-foreign-exchange-transactions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/20/2012/cftc-no-action-letter-pay-play-rules-swap-dealers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-no-action-letter-regarding-swaps-calculation-foreign-entities-sd-msp-definitions-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-no-action-letter-real-estate-investment-trusts-are-not-pools2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-no-action-relief-concerning-bespoke-or-complex-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-concerning-terms-may-be-excluded-portfolio-reconciliation-applies-all-sds-and-msps-%28letter-13-31%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-certain-swap-dealers-concerning-annual-reports-chief-compliance-officers-%28letter-13-32%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-no-action-relief-family-offices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/25/2013/cftc-no-action-relief-sefs-regarding-broken-trades-%28cftc-letter-13-66%29-%28-lofchie-comment-and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/14/2012/cftc-no-action-relief-swap-dealers-chief-compliance-officers-annual-reports-2012-year-end-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-certain-external-business-conduct-standards-and-documentation-standards-%28letter-13-33%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/18/2013/cftc-no-action-relief-clearing-swaps-resulting-multilateral-portfolio-compression-exercises-%28cftc-letter-no.-13-01%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-no-action-relief-permitting-clearing-agencies-counterparties-repos-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-no-action-relief-sefs-execution-methods-basis-risk-mitigation-services-%28cftc-letter-13-81%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/22/2012/cftc-notice-proposed-order-and-request-comment-a-petition-certain-isos-and-rtos-exempt-specified-transactions-authorized-a-tariff-or-protocol2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/02/2012/cftc-notice-agency-information-collection-activities-under-omb-review-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-notice-proposed-collection-and-comment-request-regarding-annual-notice-filing-counterparties-unreported-trade-options-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-obtains-default-judgment-against-ifinix-futures-inc.-and-its-senior-executive-officer2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-obtains-default-judgment-against-trade-tech-institute-inc.-technology-trading-international-inc.-and-robert-sorchini-fraudulent-solicitation-managed-commodity-trading-accounts-%28cft2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/25/2012/cftc-obtains-federal-court-order-against-some-guy-engaging-unauthorized-futures-trading-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-obtains-permanent-injunction-against-australian-firm2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-obtains-restraining-order-against-cpo-and-cta-misappropriating-pool-funds-and-sending-false-or-misleading-statements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-ogc-issues-no-action-letter-regarding-eligible-contract-participant-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/27/2011/cftc-open-meeting-fourteenth-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/27/2012/cftc-open-meeting-one-final-rule-and-one-proposed-rule-%28proposed-and-final-rules%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/18/2012/cftc-open-meeting-consider-a-notice-proposed-rulemaking-enhancing-customer-protections-%2810/25%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-open-meeting-today-final-rules-further-definition-term-swap-and-end-user-exception-clearing-and-proposed-rule-exempt-clearing-certain-swaps-cooperative2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/18/2013/cftc-orders-a-registered-fcm-pay-400000-penalty-customer-account-deficiencies-and-supervision-failures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2012/cftc-orders-barclays-pay-200-million-penalty-attempted-manipulation-and-false-reporting-concerning-libor-and-euribor-benchmark-interest-rates-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/07/2011/cftc-orders-chicago-based-futures-commission-merchant-newedge-usa-llc-pay-more-220000-violating-speculative-position-limits-live-cattle-futures-trading2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/26/2012/cftc-orders-china-based-weidong-ge-and-sheenson-investments-ltd.-pay-1.5-million-monetary-sanctions-violating-speculative-position-limits-cotton-and-soybean-futures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-orders-connecticut-based-registered-fcm-pay-a-225000-civil-monetary-penalty2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/19/2013/cftc-orders-enskilda-futures-limited-pay-a-125000-penalty-failing-meet-minimum-capital-requirements-due-margin-errors2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-orders-farr-financial-pay-280000-settle-charges-improper-investment-customer-segregated-funds-and-supervision-failures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-orders-fcm-pay-1.5-million-supervision-failures-commissioner-chilton-wants-bigger-fine-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-orders-fcm-pay-200000-supervisory-violations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/26/2014/cftc-orders-fcm-pay-fine-supervision-failures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-orders-futures-commission-merchant-open-e-cry-llc-pay-250000-settle-failure-supervise-charges-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-orders-fxdirectdealer-llc-pay-penalty-settle-minimum-financial-requirement-rule-violations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/16/2015/cftc-orders-ice-pay-civil-monetary-penalty-recurring-data-reporting-violations-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-orders-individual-pay-penalty-settle-charges-making-false-and-misleading-statements-during-a-cftc-investigation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-orders-interactive-brokers-llc-a-registered-futures-commission-merchant-pay-700000-large-trader-reporting-and-supervision-violations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/15/2014/cftc-orders-interdealer-broker-pay-penalty-manipulation-yen-libor2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/19/2012/cftc-orders-lmc-asset-management-pay-140000-civil-penalty-forex-registration-violations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/29/2011/cftc-orders-london-based-enskilda-futures-ltd.-and-its-swedish-principal-skandinaviska-enskilda-banken-ab-pay-a-150000-civil-penalty-supervision-violations-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/14/2013/cftc-orders-mb-trading-a-registered-retail-foreign-exchange-dealer-pay-200000-penalty-settle-charges-violating-minimal-financial-requirement-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2011/cftc-orders-merrill-lynch-commodities-inc.-pay-350000-civil-penalty-violating-cotton-futures-speculative-position-limits-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-orders-morgan-stanley-co.-llc-pay-5-million-civil-monetary-penalty-unlawful-noncompetitive-trades-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-orders-nevada-resident-luis-salazar-correa-and-his-company-prosperity-team-llc-pay-more-2.6-million-settle-cftc-anti-fraud-forex-action-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/09/2012/cftc-orders-newedge-usa-llc-a-registered-futures-commission-merchant-pay-700000-submitting-inaccurate-large-trader-reports-cftc-and-violating-a-prior-cftc-order-%28enforcement-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2013/cftc-orders-panther-energy-trading-llc-and-principal-michael-j.-coscia-pay-fines-and-bans-them-trading-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/25/2015/cftc-orders-permanent-injunction-against-former-vice-president-trading-firm-misuse-customer-funds2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-orders-trader-pay-penalty-engaging-unlawful-noncompetitive-futures-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/15/2014/cftc-orders-two-firms-pay-500000-call-cotton-reporting-violations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-orders-vision-financial-markets-llc-pay-penalty-violations-fund-segregation-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-penalizes-adm-investor-services-unlawfully-commingling-customer-funds-funds-non-customer-accounts-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/03/2013/cftc-penalizes-macquarie-futures-usa-llc-failing-maintain-adequate-funds-secured-accounts2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/26/2013/cftc-permanently-bars-peregrine-accountant-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-plans-intensify-examinations-ccps-%28-lofchie-comment-and-links-bloomberg-news-and-streetwise-professor%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/05/2015/cftc-postpones-public-roundtable-discussion-recovery-and-orderly-wind-down-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/15/2013/cftc-posts-cross-border-guidance-and-cross-border-exemptive-order-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/14/2012/cftc-presidents-budget-and-performance-plan-fy-2013-%28letter-and-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-proposal-regarding-records-commodity-interest-and-related-cash-or-forward-transactions-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-proposal-regarding-residual-interest-deadline-fcms-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/28/2012/cftc-proposed-exemption-swaps-regulation-certain-electricity-contracts-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2013/cftc-proposed-rule-membership-a-registered-futures-association-%28fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2015/cftc-proposes-amendments-regarding-reporting-and-recordkeeping-requirements-end-users-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftc-proposes-amendments-swap-data-recordkeeping-and-reporting-requirements-cleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-proposes-clearing-determination-certain-credit-default-swaps-and-interest-rate-swaps-%28press-release-and-pre-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftc-proposes-disclosure-rules-private-funds2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-proposes-enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-dcos-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/16/2013/cftc-proposes-rule-change-derivatives-clearing-organizations-and-international-standards-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/02/2014/cftc-proposes-rules-regarding-margin-requirements-uncleared-swaps-sds-and-msps-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2014/cftc-proposes-amend-its-rules-regarding-suspension-or-disbarment-appearance-and-practice-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/20/2014/cftc-proposes-clarify-its-interpretation-forward-contracts-embedded-volumetric-optionality-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-provides-additional-information-concerning-its-existing-no-action-relief-reporting-parties-regarding-leis-and-certain-identifying-information2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/11/2013/cftc-provides-mutual-acceptance-legal-entity-identifiers-issued-non-u.s.-utilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/26/2014/cftc-provides-further-relief-swaps-entered-eligible-treasury-affiliates-%28cftc-letter-14-144%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/16/2013/cftc-provides-guidance-disruptive-practices-%28-mocek-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-provides-limited-no-action-time-relief-operators-certain-funds-funds2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/cftc-provides-no-action-relief-%28letter-13-10%29-swap-data-reporting-requirements-swap-counterparties-are-not-sds-or-msps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/01/2014/cftc-provides-no-action-relief-package-transactions-%28cftc-letter-14-62%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-provides-no-action-relief-business-development-companies-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/24/2014/cftc-provides-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-56-and-14-57%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/30/2014/cftc-provides-no-action-relief-new-zealand-university-operate-not-profit-market-event-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-provides-operational-guidance-maintenance-cicis-issued-through-assisted-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/05/2012/cftc-provides-swap-dealers-reporting-relief-equity-and-foreign-exchange-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-provides-swap-dealers-swap-data-reporting-relief2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2014/cftc-provides-temporary-no-action-relief-sefs-certain-block-trade-requirements-%28cftc-letter-14-118%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-provides-very-limited-no-action-relief-swap-dealers-associated-persons-subject-statutory-disqualification-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/31/2012/cftc-public-roundtable-discuss-proposed-volcker-rule-today2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/16/2015/cftc-publishes-agencys-notice-information-collection-activities-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-publishes-appendix-motion-against-nav-sarao2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/13/2013/cftc-publishes-comment-date-correction-proposed-rule-regarding-registered-futures-associations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-publishes-comparability-determinations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-publishes-concept-release-risk-controls-and-system-safeguards-automated-trading-environments-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2013/cftc-publishes-correction-table-10-proposed-position-limits-derivatives-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/15/2013/cftc-publishes-enhanced-risk-management-standards-systemically-important-derivatives-clearing-organizations-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-publishes-exemption-issued-hksfc-permits-u.s.-customers-deal-directly-hong-kong-fcms-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-publishes-extension-comment-period-aggregation-position-proposed-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/18/2015/cftc-publishes-final-interpretation-forward-contracts-embedded-volumetric-optionality2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-publishes-final-rules-enhancing-customer-protections-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/02/2013/cftc-publishes-final-rules-derivatives-clearing-organizations-align-international-standards-%28fed.-reg.-version%29-%28-lofchie-comment-and-youtube-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-publishes-final-rules-ownership-and-control-reports-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2014/cftc-publishes-guidance-no-action-letter-and-interim-final-rule-promote-trading-sefs-and-support-orderly-transition-mandatory-trading-%28cftc-letter-14-12%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/26/2014/cftc-publishes-interim-final-rule-and-request-comment-regarding-access-sdr-data-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/05/2014/cftc-publishes-notice-intent-renew-collection-financial-resource-requirements-derivatives-clearing-organizations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2015/cftc-publishes-notice-intent-renew-process-review-swaps-mandatory-clearing2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-publishes-notice-proposed-order-and-request-comment-exempt-certain-transactions-regional-transmission-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-publishes-proposed-rules-aggregation-positions-%28fed.-reg.-version%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/24/2014/cftc-publishes-public-information-collection-requirements-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/26/2014/cftc-publishes-request-comment-swap-data-recordkeeping-and-reporting-requirements-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/22/2014/cftc-publishes-rule-enforcement-review-ice-futures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2014/cftc-publishes-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2014/cftc-publishes-text-proposed-swaps-margin-rule-and-final-rule-swaps-special-entity-utilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/20/2013/cftc-publishes-text-sef-rules-%28-lofchie-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-publishes-updates-cross-references-bank-secrecy-act-regulations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-joint-final-rules-and-interpretations-defining-swap-security-based-swap-and-security-based-swap-agreement...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-proposed-rule-exempt-certain-swaps-executed-cooperatives-swap-clearing-requirement2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/28/2014/cftc-re-issues-frequently-asked-questions-commodity-options2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/21/2014/cftc-reinstates-nasdaq-futures-inc.-dcm2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2014/cftc-releases-annual-enforcement-results-fy-20142024-04-06T18:01Znever https://www.findknowdo.com/news/03/17/2015/cftc-releases-annual-fy-2014-performance-report-and-fy-2016-performance-plan2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/01/2013/cftc-releases-details-recent-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-releases-fifth-status-report-cftc-regulations-omb2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-releases-final-interpretation-forward-contracts-embedded-volumetric-optionality-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/06/2013/cftc-releases-information-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2013/cftc-releases-information-recent-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-releases-joint-statement-ec-and-two-no-action-letters-european-exchanges-%28cftc-letters-14-15-and-14-16%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/20/2014/cftc-releases-research-paper-electronic-markets-trader-anonymity-and-market-fragility-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2012/cftc-releases-results-limited-reviews-futures-commission-merchants-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-releases-results-rule-enforcement-reviews-elx-futures-minneapolis-grain-exchange-and-cboe-futures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-releases-rule-enforcement-review-ice-futures-u.s.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/08/2015/cftc-releases-rule-enforcement-review-minneapolis-grain-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/19/2013/cftc-releases-rule-enforcement-review-north-american-derivatives-trading-exchange-inc.2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-releases-rule-enforcement-review-onechicago-llc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/02/2013/cftc-releases-rule-enforcement-review-chicago-mercantile-exchange-and-chicago-board-trade2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-reopens-comment-period-concept-release-regarding-risk-controls-and-system-safeguards-automated-trading-environments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/04/2014/cftc-reopens-comment-period-proposed-position-limits-rule-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/01/2014/cftc-reopens-comment-period-proposed-position-limits-rule2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/24/2015/cftc-reopens-comment-periods-position-limits-and-aggregation-proposals-%28-lofchie-music-selections%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/29/2014/cftc-reopens-comment-periods-position-limits-derivatives-and-aggregation-positions-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/25/2015/cftc-reopens-comment-periods-position-limits-derivatives-and-aggregation-positions-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2012/cftc-reopens-public-comment-period-margin-requirements-uncleared-swaps-07/03/2012-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/23/2011/cftc-repository-rule-wont-save-regulators-data-leak-bills-say-european-supervisors-%28news-story%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/21/2014/cftc-republishes-mat-swap-chart2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/23/2011/cftc-request-public-comment2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/12/2015/cftc-requests-comment-collections-information-involving-registered-entities-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-requests-comment-proposed-information-collection-regarding-cpo/cta-continued-registration-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/07/2015/cftc-requests-comments-a-rule-amendment-certification-filing-affects-position-limits-nyiso-zone-g-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/03/2015/cftc-requests-comments-application-asx-clear-exemption-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2015/cftc-requests-comments-application-otc-clearing-hong-kong-exemption-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2015/cftc-requests-comments-cme-clearing-europes-application-registration-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/28/2015/cftc-requests-comments-proposed-information-collection-regarding-dco-reporting-and-recordkeeping-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-requests-comments-regulations-collection-information-pertaining-bankruptcies-commodity-brokers2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/15/2015/cftc-requests-comments-regulations-involving-customer-clearing-documentation2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/07/2015/cftc-requests-comments-application-nodal-clear-llc-registration-a-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/07/2015/cftc-requests-comments-regarding-swap-data-recordkeeping-and-reporting-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-requests-public-comment-application-singapore-exchange-derivatives-clearing-limited-registration-a-dco2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/15/2014/cftc-requests-public-comment-applications-regarding-dco-and-sef-registration-options-bitcoins2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/08/2012/cftc-requests-public-comment-cantor-clearinghouse-petition-amend-its-order-registration-a-derivatives-clearing-organization2024-04-06T18:06Znever https://www.findknowdo.com/news/02/11/2014/cftc-requests-public-comment-lch.clearnets-petition-amendment-orders-registration-a-dco2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/27/2014/cftc-requests-nfa-members-provide-information-suspicious-activity-report-filings-nfa-notice-i-14-042026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/24/2014/cftc-reschedules-public-meeting-technology-advisory-committee-previously-cancelled-snow-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/10/2015/cftc-reschedules-roundtable-discussion-recovery-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-responds-frequently-asked-questions-commodity-options-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/04/2014/cftc-reviews-possibility-banks-de-guaranteeing-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/14/2014/cftc-revokes-registration-cta2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/04/2014/cftc-revokes-registrations-a-cpo/cta-creates-issue-administrative-law2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/02/2013/cftc-revokes-registrations-gordon-a.-driver-and-axcess-fund-management-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/16/2014/cftc-revokes-registrations-sac-capital-advisors-lp-and-sac-capital-advisors-llc-based-criminal-action2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2013/cftc-roundtable-enhancing-protections-afforded-futures-customers-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-rules-add-dodd-frank-cost-burden-funds-%28reuters%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/01/2015/cftc-sanctions-fcm-supervision-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-sanctions-fcm-supervision-violations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-sanctions-firm-recordkeeping-trade-practice-and-supervision-failures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/29/2014/cftc-sanctions-firm-submitting-inaccurate-large-trader-reports2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/11/2013/cftc-sanctions-gelber-group-750000-trading-abuses-two-exchanges2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/10/2011/cftc-sanctions-velocity-futures-llc-supervision-violations-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/08/2013/cftc-says-customer-information-disclosed-improperly2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2013/cftc-seeks-comment-cme-advisory-notice-regarding-wash-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/16/2015/cftc-seeks-comments-collection-information-regarding-exemptions-speculative-limits2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-seeks-public-comment-amended-request-cme-group-amend-rule-5382026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/09/2013/cftc-seeks-public-comment-certification-bloomberg-sef-llc-implement-available-trade-determinations-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-seeks-public-comment-certification-marketaxess-sef-corporation-implement-available-trade-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-seeks-public-comment-certification-tw-sef-llc-implement-available-trade-determinations-cds-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2013/cftc-seeks-public-comment-cme-group-request-amend-rule-538-%28exchange-related-positions%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/18/2015/cftc-seeks-public-comment-exchange-operators-petition-exemption-dco-registration2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/24/2014/cftc-seeks-public-comment-ice-swap-trade-llcs-self-certification-package-trade-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/22/2011/cftc-seeks-public-comment-request-ice-clear-credit-order-permitting-portfolio-margining-swaps-and-security-based-swaps-a-customer-account-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-seeks-public-comment-request-ice-clear-europe-order-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2012/cftc-seeks-public-comment-request-ice-clear-europe-limited-order-permitting-portfolio-margining-swaps-and-security-based-swaps-a-customer-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-seeks-public-comment-request-ice-clear-europe-ltd.-order-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2013/cftc-seeks-public-comment-trueex-llc-request-amended-dcm-order-allow-intermediated-trading-its-platform2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-seeks-deny-cta-and-ap-registrations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/26/2012/cftc-seeks-revoke-registrations-brian-kim-and-his-company-liquid-capital-management-llc2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/26/2011/cftc-sets-penalties-three-chicago-traders-%28crains%29-%28news-story%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-settles-action-against-fcm-secured-amount-deficiency-and-commingling-customer-funds-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/13/2012/cftc-settles-charges-against-defendant-robert-mihailovich-jr.-making-false-statements-cftc-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/13/2011/cftc-settles-charges-against-fx-trading-llc-failing-maintain-minimum-net-capital-required-futures-commission-merchants2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/16/2013/cftc-settles-charges-against-jpmorgan2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/30/2015/cftc-settles-enforcement-action-district-court-floor-brokers-violation-cftc-administrative-order2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-solicits-comment-proposed-information-collection-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/04/2015/cftc-solicits-comments-large-trader-reports2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/30/2013/cftc-solicits-comments-procedural-requirements-requests-interpretation-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-solicits-comments-two-proposed-information-collections-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/08/2014/cftc-solicits-comments-regarding-cross-border-applicability-rules-non-u.s.-swap-dealers-and-non-u.s.-counterparties-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/07/2014/cftc-solicits-comments-regarding-collection-certain-whistleblower-information-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/30/2015/cftc-solicits-comments-regarding-collection-information-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/21/2010/cftc-speculation-limits-may-pass-quietly-unchanged2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-speeches-speech-commissioner-bart-chilton-american-soybean-association-legislative-forum2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-staff-allows-taiwan-futures-exchanges-futures-contract-based-gretai-securities-market-capitalized-weighted-stock-index-%28gtex%29-be-offered-and-sold-united-states-%28press-re2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/15/2014/cftc-staff-announces-no-action-relief-delegating-cpos-regarding-self-executing-registration-%28cftc-letter-14-126%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-staff-expands-existing-relief-securitizations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/15/2012/cftc-staff-grants-temporary-no-action-relief-persons-eligible-trade-option-exemption2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2012/cftc-staff-interpretation-cleared-swaps-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/22/2014/cftc-staff-issues-extension-no-action-relief-southwest-power-pool-%28cftc-14-109%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2013/cftc-staff-issues-four-no-action-letters-cross-border-swaps-issues-%28letters-13-43-13-44-13-45-13-46%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2014/cftc-staff-issues-interpretation-segregation-independent-amounts-uncleared-swap-transactions-%28cftc-letter-14-132%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/04/2015/cftc-staff-issues-interpretive-letter-regarding-use-captive-finance-clearing-exception-%28cftc-letter-15-27%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-staff-issues-no-action-letter-singapore-exchange-derivatives-clearing-limited-%28cftc-letter-14-122%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2014/cftc-staff-issues-no-action-relief-extension-fcms-regarding-compliance-receipt-customer-funds-%28cftc-letter-14-131%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-staff-issues-time-limited-no-action-letter-applicability-oral-recording-requirements-certain-members-dcms-or-sefs-%28cftc-letter-14-60%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-staff-no-action-relief-preservation-regulatory-status-quo-respect-swaps-cleared-a-dco-%28and-related%29-collateral2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2012/cftc-staff-no-action-relief-temporary-delay-compliance-date-part-22-rules-due-hurricane-sandy2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/19/2012/cftc-staff-ratifies-cross-margining-customer-swaps-collateral-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-staff-responds-frequently-asked-questions-reporting-cleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-staff-responds-questions-start-swap-data-reporting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/30/2013/cftc-staff-host-a-public-roundtable-proposed-rulemaking-enhancing-protections-afforded-customers-and-funds-deposited-customers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/02/2012/cftc-staff-host-a-public-roundtable-discuss-additional-customer-protections2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-staff-host-public-roundtable-discuss-swap-data-recordkeeping-and-reporting-requirements2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/22/2013/cftc-staff-host-public-roundtable-discuss-futurization-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-staff-withdraws-elements-faq-reporting-cleared-swaps-seeks-public-comment-cme-rule-1001-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/07/2011/cftc-statement-regarding-enforcement-investigation-silver-markets-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/12/2014/cftc-streamlines-process-cpo-delegation-%28cftc-letter-14-69%29-%28-mehta-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/06/2014/cftc-submits-consolidated-reply-opposition-market-participants-motion-summary-judgment2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2014/cftc-submits-reply-support-its-motion-file-supplemental-declaration-cftc-cross-border-guidance-case2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2013/cftc-sued-depository-trust-clearing-corporation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-sunshine-act-closed-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/10/2012/cftc-sunshine-act-open-meeting-september-12-20122026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2010/cftc-swap-plan-may-save-billions-bank-revenue2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/30/2012/cftc-swap-transaction-compliance-and-implementation-schedule-clearing-requirement-under-section-2%28h%29-cea-final-rule-%28final-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/03/2011/cftc-swap-trading-rules-may-limit-market-entrants-moodys-says2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/09/2011/cftc-swaps-rules-hurt-liquidity-burdensome-groups2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-tech-advisory-committee-announces-september-meeting-and-releases-agenda2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2014/cftc-technology-advisory-committee-reestablished-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-technology-advisory-committee-meeting-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/13/2014/cftc-technology-advisory-committee-meet-june-32026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-technology-advisory-committee-commissioner-omalias-opening-remarks-swap-data-reporting-and-big-data2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/21/2012/cftc-technology-advisory-committee-opening-statement-commissioner-scott-d.-omalia-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/23/2011/cftc-technology-advisory-subcommittee-cftc-announces-members-technology-advisory-subcommittee-data-standardization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2011/cftc-testimony-testimony-chairman-gary-gensler-u.s.-senate-committee-banking-housing-and-urban-affairs2020-12-15T03:20Znever https://www.findknowdo.com/news/10/15/2012/cftc-time-limited-no-action-letter-regarding-agricultural-and-exempt-commodities-and-sd-msp-definitions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-time-limited-no-action-letter-regarding-fx-swaps-purposes-sd-msp-and-pool-calculations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2013/cftc-time-limited-no-action-relief-small-banks-board-approval-requirement-clearing-requirement-%28letter-13-26%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cftc-add-other-commodity-asset-class-provisional-registration-dtcc-data-repository-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-court-position-limits-appeal-will-be-dropped-if-new-rule-reached-nov.-5-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/09/2011/cftc-face-more-scrutiny-house-republicans2020-12-15T04:52Znever https://www.findknowdo.com/news/11/21/2012/cftc-hold-2012-research-conference-discuss-key-issues-derivatives-markets2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-hold-agriculture-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-hold-first-smartcheck-week2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/27/2014/cftc-hold-open-commission-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-hold-open-meeting-eleventh-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-hold-open-meeting-tenth-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-hold-open-meeting-consider-clearing-requirement-determination2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/05/2013/cftc-hold-open-meeting-consider-cross-border-final-guidance-and-cross-border-phase-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2013/cftc-hold-open-meeting-consider-enhancing-protections-futures-customers-and-other-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2013/cftc-hold-open-meeting-consider-proposals-position-limits2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/14/2012/cftc-hold-open-meeting-consider-proposed-interpretive-guidance-cross-border-application-certain-swaps-provisions2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-hold-open-meeting-consider-proposed-rule-margin-requirements-and-final-rule-utility-special-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-hold-open-meeting-consider-proposed-rules-enhancing-customer-protections-and-final-rules-adaptation-existing-regulations-incorporate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/14/2011/cftc-hold-open-meeting-consider-three-final-rules-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/04/2012/cftc-hold-open-meeting-consider-three-final-rules-one-proposed-rule-and-a-delegation-authority-order-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/10/2013/cftc-hold-open-meeting-consider-trade-execution-rules-anti-disruptive-trading-practices-guidance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/29/2011/cftc-hold-open-meeting-consider-two-final-rules-and-two-proposals-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/20/2012/cftc-hold-public-meeting-technology-advisory-committee-and-renewal-committee-charter-and-membership-today-june-20-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/03/2015/cftc-hold-roundtable-discussion-cybersecurity-and-system-safeguards-testing2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/20/2015/cftc-host-public-roundtable-discussion-recovery-and-orderly-wind-down-dcos-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/22/2015/cftc-host-public-roundtable-regarding-mat-process-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/31/2014/cftc-host-public-roundtable-regarding-trade-execution-requirement-and-package-transactions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2011/cftc-lower-threshold-trading2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-unveil-hedge-fund-advisors-rule-jan-262026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/23/2010/cftc-urged-curb-speculation-wall-street-resists2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-vacates-kansas-city-board-trade-clearing-corporations-registration-a-derivatives-clearing-organization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-vacates-new-york-portfolio-clearings-registration-dco2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/03/2012/cftc-votes-clarify-indemnification-and-confidentiality-provisions-dodd-frank-act-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-votes-dismiss-appeal-2011-position-limits-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2011/cftc-weighs-plan-regulate-agricultural-swaps-same-credit-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/16/2011/cftc-will-not-hold-september-22-2011-meeting-%28notice%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-will-oversee-first-bitcoin-derivatives-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/10/2011/cftc-wont-seek-tougher-voting-stake-rules-sources2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/16/2011/cftcs-agricultural-advisory-committee-meet-may-19-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/09/2013/cftcs-appeal-brief-position-limits-litigation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/02/2011/cftcs-chilton-says-regulators-should-review-trading-algorithms2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/10/2013/cftcs-division-clearing-and-risk-issues-no-action-letter-corporacion-andina-de-fomento-%28letter-13-25%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2013/cftcs-division-clearing-and-risk-issues-time-limited-no-action-relief-required-clearing-swaps-entered-certain-cooperatives-%28letter-13-24%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2012/cftcs-division-market-oversight-issues-temporary-no-action-relief-aggregation-requirements-rule-regarding-position-limits-futures-and-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2012/cftcs-division-market-oversight-issues-temporary-no-action-relief-non-clearing-swap-dealers-comply-large-trader-reporting-requirements-physical-commodity-swaps-and-swaptions2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/12/2012/cftcs-division-swap-dealer-and-intermediary-oversight-responds-faqs-about-swap-entities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftcs-dmo-issues-time-limited-no-action-relief-temporarily-registered-sefs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftcs-dmo-provides-time-limited-no-action-relief-australian-based-trading-platform-yieldbroker-pty-limited-%28cftc-letter-13-59%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftcs-dmo-provides-time-limited-no-action-relief-sefs-and-market-participants-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/02/2013/cftcs-dsio-issues-time-limited-no-action-letter-cpos-securitization-vehicles-%28cftc-letter-13-07%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/02/2013/cftcs-dsio-issues-time-limited-no-action-relief-surrounding-fx-transactions-7-business-days-%28cftc-letter-13-13%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2014/cftcs-dsio-provides-additional-guidance-fcms-and-depositories-regarding-procedures-new-filing-requirements2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2011/cftcs-dunn-says-agency-faces-budget-crisis2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/26/2014/cftcs-final-rule-swaps-special-entities-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/19/2011/cftcs-gensler-supports-inclusion-swaps-volcker-rule-study2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/17/2014/cftcs-legal-memorandum-dismiss-challenge-its-cross-border-guidance2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/19/2011/cftcs-office-chief-economist-host-conference-commodity-markets-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/12/2011/cftc-ftc-agree-share-information-energy-investigations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/26/2011/cftc-usda-economic-research-service-and-farm-foundation-nfp-host-workshop-carbon-market-design-issues-and-opportunities...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/02/2014/cftc-proposed-rule-amendment-regarding-de-minimis-threshold-entities-entering-swaps-utility-special-entities-published-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2011/cftc-sec-release-joint-study-feasibility-mandating-algorithmic-descriptions-derivatives2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-sec-statement-mf-global-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-cftc-and-sec-staffs-host-public-roundtable-discuss-international-issues-relating-implementation-title-vii-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-clearing-member-risk-management2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-customer-clearing-documentation-and-timing-acceptance-clearing2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-open-meeting-three-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-final-rule2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-business-affiliate-marketing-and-disposal-consumer-information-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-large-trader-reporting-physical-commodity-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-privacy-consumer-financial-information-conforming-amendments-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-final-rule-process-review-swaps-mandatory-clearing-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/04/2011/cftc/sec-dodd-frank-rulemaking-final-rules-open-meeting-three-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-public-comment-cftc-commissioner-scott-d.-omalia-seeks-public-comment-review-swaps-mandatory-clearing2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/08/2011/cftc/sec-technology-committee-opening-statement-inaugural-meeting-data-standardization-subcommittee2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/25/2011/cftc/secdodd-frank-rulemaking-final-rule-removing-any-reference-or-reliance-credit-ratings-commission-regulations-proposing-alternatives-use-credit-ratings2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/31/2012/cftc-meeting-global-markets-advisory-committee-focusing-cross-border-swaps-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2012/cftc-public-meeting-technology-advisory-committee-%2810/30%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-chilton-proposes-position-tracking-not-hard-limit-commodities2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-chilton-reluctant-support-position-limit-proposal-so-far2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/21/2013/cftcs-dcr-issues-extension-time-limited-no-action-relief-required-clearing-swaps-entered-certain-cooperatives2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftcs-division-clearing-and-risk-announces-revised-compliance-schedule-required-clearing-itraxx-cds-indices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2012/cftcs-division-clearing-and-risk-issues-extension-time-compliance-certain-pre-trade-screening-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/08/2013/cftcs-division-market-oversight-issues-advisory-providing-guidance-reporting-markets-how-submit-block-trade-volume-data-%28cftc-letter-13-15%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/08/2013/cftcs-division-market-oversight-issues-advisory-reminding-market-participants-certain-call-cotton-reporting-requirements-and-a-no-action-position-allowing-e-mail-submission-form-304-reports-%28cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/08/2013/cftcs-division-market-oversight-issues-advisory-reminding-market-participants-certain-swap-data-reporting-requirements-%28-eastwood-comment-and-webinar-invitation%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2011/cftcs-division-market-oversight-issues-guidebook-part-20-reports-%28press-release-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/09/2012/cftcs-division-market-oversight-issues-letter-market-participants-regarding-compliance-large-trader-reporting-system-physical-commodity-swaps-and-swaptions-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/21/2011/cftcs-division-market-oversight-issues-letter-market-participants-requiring-compliance-new-large-trader-reporting-system-physical-commodity-swaps-and-swaptions-%28press-release-lette2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftcs-division-market-oversight-issues-updated-guidebook-part-20-reports-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/17/2013/cftcs-division-market-oversight-provides-time-limited-no-action-relief-transition-sef-regulations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/16/2012/cftcs-division-swap-dealer-and-intermediary-oversight-issues-time-limited-no-action-relief-certain-cpos-and-ctas-meet-registration-and-compliance-obligations-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/05/2012/cftcs-division-swap-dealer-and-intermediary-oversight-provides-guidance-segregated-and-secured-funds-maintained-a-combined-omnibus-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/14/2012/cftcs-division-swap-dealer-and-intermediary-oversight-responds-questions-regarding-recent-amendments-compliance-obligations-commodity-pool-operators-and-commodity-trading-advisors2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/01/2013/cftcs-dsio-issues-time-limited-no-action-relief-sds-and-msps-regarding-certain-recordkeeping-obligations-%28cftc-letter-13-06%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2011/cftcs-dunn-says-staff-must-find-data-justify-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/12/2015/cftcs-energy-and-environmental-markets-advisory-committee-announces-first-scheduled-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftcs-first-enforcement-action-charging-swaps-dealer-failure-supervise-settled2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/11/2011/cftcs-gensler-seeks-calm-lawmaker-swap-fears2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftcs-omalia-voices-concern-about-cost-clearing-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2011/cftcs-omalia-warns-swaps-costs2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/14/2012/cftcs-office-general-counsel-responds-questions-regarding-certain-physical-commercial-agreements-supply-and-consumption-energy-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-position-limit-plan-gains-needed-support2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/13/2015/chair-massad-announces-trip-asia-discuss-swaps-market-reform-%28-lofchie-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/05/26/2015/chair-massad-discusses-cftcs-market-risk-strategy-and-priorities-fine-tuning-flawed-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/08/2014/chair-house-agriculture-committee-praises-resigning-cftc-commissioner-omalia2020-12-23T23:22Znever https://www.findknowdo.com/news/06/13/2012/chair-financial-conduct-authority-appointed2020-08-06T22:43Znever https://www.findknowdo.com/news/11/11/2014/chair-white-discusses-hft-and-sec-priorities2021-06-11T20:03Znever https://www.findknowdo.com/news/07/18/2012/chairman-ben-bernankes-semiannual-monetary-policy-report-congressional-committee-banking-housing-and-urban-affairs-u.s.-senate2020-08-06T22:43Znever https://www.findknowdo.com/news/04/09/2013/chairman-bernanke-speech-stress-testing-banks2020-12-15T02:44Znever https://www.findknowdo.com/news/06/01/2015/chairman-fischer-discusses-lessons-financial-crises-%28-lofchie-comment%292020-12-15T02:21Znever https://www.findknowdo.com/news/09/10/2013/chairman-gary-gensler-testifies-%28-delta-strategy-group-summary-and-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/06/06/2013/chairman-gary-genslers-address-cross-border-application-swaps-market-reform-%28-lofchie-comment%292020-12-15T04:56Znever https://www.findknowdo.com/news/09/24/2012/chairman-gary-genslers-remarks-european-parliaments-economic-and-monetary-affairs-committee2020-12-15T03:25Znever https://www.findknowdo.com/news/07/19/2012/chairman-gary-genslers-statement-financial-stability-oversight-council2020-12-15T06:32Znever https://www.findknowdo.com/news/06/25/2013/chairman-gary-genslers-testimony-u.s.-senate-appropriations-subcommittee-financial-services-and-general-government2020-12-15T06:46Znever https://www.findknowdo.com/news/07/17/2012/chairman-gary-genslers-testimony-u.s.-senate-committee-agriculture2020-12-15T02:09Znever https://www.findknowdo.com/news/07/05/2012/chairman-gary-genslers-statement-support-regarding-effective-dates-certain-dodd-frank-act-provisions2020-12-15T02:27Znever https://www.findknowdo.com/news/01/31/2013/chairman-gensler-and-commissioner-chilton-speak-cftc-roundtable-futurization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/13/2013/chairman-gensler-delivers-remarks-fias-38th-annual-international-futures-industry-conference2020-08-24T19:43Znever https://www.findknowdo.com/news/11/18/2013/chairman-gensler-delivers-remarks-regarding-sef-transparency-and-recent-staff-guidance2020-12-15T03:20Znever https://www.findknowdo.com/news/06/13/2013/chairman-gensler-international-swaps-market-reform-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/04/16/2013/chairman-gensler-iosco-benchmark-principles2020-08-24T19:43Znever https://www.findknowdo.com/news/07/02/2012/sec-freezes-assets-missing-georgia-based-investment-adviser-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/12/2015/ofac-reaches-settlement-foreign-bank-regarding-u.s.-sanctions-violations2026-04-15T21:04Zyearly https://www.findknowdo.com/news/08/10/2011/cftc-approves-wider-swings-corn-prices-%28link-news-article%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/26/2012/cftc-commissioner-chilton-calls-olympic-caliber-regulatory-regime2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/02/2012/cftc-commissioner-chiltons-address-united-nations-urging-global-regulators-go-fast-fast-fast2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/02/2015/cftc-issues-notices-covered-action2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-issues-trade-execution-mandate-bloomberg-sef-additional-interest-rate-and-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2014/cftc-staff-extends-time-limited-no-action-relief-eurex-clearing-and-its-u.s.-clearing-members-%28cftc-letter-14-156%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/15/2013/chairman-hensarling-statement-plans-house-financial-services-committee2020-12-15T02:27Znever https://www.findknowdo.com/news/01/14/2014/chairman-wetjen-and-commissioner-omalia-issue-statements-regarding-cftc-budget-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/02/2014/energy-metro-desk-series-drums-along-potomac-discusses-cftc-swap-dealer-rule-and-cross-border-guidance-case-decision2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/30/2015/esma-releases-mifid-technical-standards-third-country-firms2020-08-06T22:43Znever https://www.findknowdo.com/news/08/07/2013/exchange-rule-changes2020-12-15T04:27Znever https://www.findknowdo.com/news/09/10/2013/fdic-approves-final-rule-regarding-deposits-foreign-branches-u.s.-banks-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/13/2015/fdic-chairman-gruenberg-discusses-role-bank-directors2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/19/2015/fia-issues-guidance-regarding-leap-second-event2020-12-15T03:52Znever https://www.findknowdo.com/news/12/23/2011/final-order-amending-effective-date-swap-regulation-%28order%292020-12-15T04:08Znever https://www.findknowdo.com/news/09/06/2012/financial-services-committee-releases-september-schedule2020-12-15T02:14Znever https://www.findknowdo.com/news/11/30/2012/fincen-federal-reserve-seek-comments-bank-secrecy-act-definitions-proposed-rule-%28pre-fed.-reg.-version%292021-06-11T20:37Znever https://www.findknowdo.com/news/06/03/2014/finra-issues-part-1-continuing-education-podcast-spring-2014-firm-element-advisory2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2014/finra-podcast-requirement-conduct-internal-investigations-red-flags-relating-investment-banking-part-4-%28-bondi-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2013/finras-podcast-examination-priorities-complex-products-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/30/2014/first-phase-nfa-financial-requirements-regarding-use-technology-monitor-fdm-forex-customer-liability-requirements-%28nfa-notice-i-14-25%292024-01-29T03:20Znever https://www.findknowdo.com/news/07/28/2015/gao-issues-framework-managing-fraud-risks-federal-programs2020-08-06T22:43Znever https://www.findknowdo.com/news/06/01/2015/inaccurate-data-short-sale-orders2020-12-15T04:23Znever https://www.findknowdo.com/news/10/04/2012/information-collection-announcement-board-approval-under-delegated-authority-and-submission-omb-%28frb-notice-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/09/2015/iosco-issues-report-sme-financing-through-capital-markets-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/04/04/2014/list-sanctioned-russian-and-ukrainian-individuals-and-entities2020-08-24T19:23Znever https://www.findknowdo.com/news/08/22/2012/msrb-report-municipal-bond-continuing-disclosure-documents2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/22/2012/msrb-and-bda-co-host-municipal-securities-regulation-seminar-chicago2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/16/2014/nasaa-announces-advisory-council-assist-informing-committee-senior-issues-and-diminished-capacity2024-02-03T22:51Znever https://www.findknowdo.com/news/09/24/2012/nasaa-announces-iard-fee-system-waiver-investment-adviser-firms-reduced-system-fees-reinstated-investment-adviser-representatives2024-02-03T22:51Znever https://www.findknowdo.com/news/09/10/2012/nasaa-report-coordinated-examinations-identify-top-bd-compliance-violations-state-securities-regulators-offer-recommended-best-practices2024-02-03T22:51Znever https://www.findknowdo.com/news/01/05/2015/nasaa-seeks-industry-input-regarding-examination-programs2024-02-03T22:51Znever https://www.findknowdo.com/news/08/28/2012/non-u.s.-exchanges-comments-et-guidance2020-12-15T06:54Znever https://www.findknowdo.com/news/07/26/2012/nyse-arca-notice-filing-and-immediate-effectiveness-proposed-rule-change-amending-nyse-arca-options-rule-6.40-%28pre-fed.-reg.-version%292020-08-24T19:53Znever https://www.findknowdo.com/news/10/30/2013/occ-announces-new-senior-national-bank-examiner2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/05/2012/occ-names-ellen-m.-warwick-director-enforcement-and-compliance2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/03/2011/regulating-commodity-speculation-back-eu-spotlight2020-12-15T03:05Znever https://www.findknowdo.com/news/08/13/2014/remarks-broker-dealer-capital-president-federal-reserve-bank-boston-%28-lofchie-comment%292020-12-15T06:34Znever https://www.findknowdo.com/news/01/09/2014/sec-charges-food-company-and-executives-engaged-walnut-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/12/2015/sec-charges-former-software-executive-foreign-corrupt-practices-act-violations2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2014/sec-names-new-chief-operating-officer-enforcement-division2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/15/2014/sec-settlement-noble-corp.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/06/2014/senate-banking-committee-holds-open-hearing-dodd-frank-and-data-security2020-12-15T06:38Znever https://www.findknowdo.com/news/12/20/2012/sifma-recommends-year-end-market-closures-u.s.-uk-and-japanese-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/20/2013/sifma-statement-agriculture-committee-passage-key-derivatives-reforms2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/02/2013/sifma-statement-nomination-michael-froman-be-u.s.-trade-representative2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/01/2013/sifma-submits-comments-msrb-regarding-pricing-data-dissemination-through-a-new-central-transparency-platform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/13/2013/sifma-supports-president-obamas-endorsement-transatlantic-trade-and-investment-partnership2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/15/2013/sifma-supports-us-eu-trade-agreement-offers-recommended-framework-financial-services-provisions-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/26/2013/sifmas-asset-management-group-helps-develop-new-market-agreed-coupon-interest-rate-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/swap-data-cftc-eases-access-non-u.s.-regulators-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/trueex-certifies-available-trade-determinations-certain-interest-rate-swaps-%28-lofchie-comment%292020-12-15T03:20Znever https://www.findknowdo.com/news/03/28/2014/weekly-roundup-exchange-rule-changes-%28-category%292020-09-18T01:55Znever https://www.findknowdo.com/news/12/01/2011/top-priority-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/02/15/2013/americas-prophet-did-not-see-coming-%28-lofchie-comment%292021-06-12T21:10Znever https://www.findknowdo.com/news/06/19/2014/how-proxy-advisory-services-became-so-powerful-%28mercatus-center-policy-brief%29-%28-bevilacqua-quote%292021-07-06T13:57Znever https://www.findknowdo.com/news/09/04/2012/pay-play-prohibitions-brokers-dealers-and-municipal-securities-dealers-under-msrb-rules2021-02-01T19:48Znever https://www.findknowdo.com/news/04/02/2015/streetwise-professor-craig-pirrong-considers-effects-central-clearing-dealer-exposure2020-12-15T04:55Znever https://www.findknowdo.com/news/04/03/2015/streetwise-professor-craig-pirrong-critiques-options-clearing-corporations-new-capital-plan-%28-lofchie-comment%292020-12-15T05:15Znever https://www.findknowdo.com/news/12/08/2014/streetwise-professor-craig-pirrong-discusses-developments-clearing-business-%28-lofchie-comment%292020-12-15T05:20Znever https://www.findknowdo.com/news/06/11/2014/revolving-door-and-worker-flows-banking-regulation-%28ny-fed.-staff-report%292020-12-15T03:00Znever https://www.findknowdo.com/news/08/14/2012/%28bn%29-jpmorgan-house-client-collateral-bank-after-futures-losses2020-12-15T06:27Znever https://www.findknowdo.com/news/08/04/2011/%28news-article%29-factbox-five-endangered-dodd-frank-rules2021-06-11T18:24Znever https://www.findknowdo.com/news/08/15/2011/%28news-article%29-new-proposals-could-take-sting-out-sefs-say-industry-experts2020-12-15T06:55Znever https://www.findknowdo.com/news/08/15/2011/%28news-article%29-senate-set-approve-nomination-cftc-nominee-sept2021-06-11T18:19Znever https://www.findknowdo.com/news/02/07/2011/10th-circuit-interprets-broker-dealer-exception-advisers-act-registration2020-12-03T20:31Znever https://www.findknowdo.com/news/03/08/2013/2012-msrb-factbook-overview2020-08-24T19:43Znever https://www.findknowdo.com/news/11/03/2011/%28r-application-%29-v-financial-services-authority-%282011%29-2011-ewhc-2766-%28admin%29-%2826-august-2011%292020-08-24T20:06Znever https://www.findknowdo.com/news/08/08/2011/cost-benefit-analysis-lacking-%28news-article%292020-12-15T03:38Znever https://www.findknowdo.com/news/12/11/2012/great-many-securities-sro-rule-changes2020-12-24T20:34Znever https://www.findknowdo.com/news/03/30/2011/guide-mifid-transaction-reporting-fsa-crest-arm2020-08-06T22:43Znever https://www.findknowdo.com/news/01/06/2011/small-entity-compliance-guide2020-12-15T06:39Znever https://www.findknowdo.com/news/12/20/2010/solution-search-problem2020-12-15T05:08Znever https://www.findknowdo.com/news/02/08/2011/surge-commodity-prices-etfs-didnt-do-it2021-01-24T02:57Znever https://www.findknowdo.com/news/10/17/2014/aba-asks-changes-proposed-section-871%28m%29-dividend-equivalent-regulations2020-08-24T19:03Znever https://www.findknowdo.com/news/03/28/2013/aba-has-15-comments-crowdfunding2020-12-03T16:34Znever https://www.findknowdo.com/news/09/04/2012/aba-letter-regarding-petition-rulemaking-definition-eligible-contract-participant-cea-section-1a%2818%292020-12-15T03:21Znever https://www.findknowdo.com/news/09/16/2013/aba-submits-comments-treasury-and-prudential-regulators-regarding-cftc-cross-border-regulatory-interpretations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/aba-sifma-and-fsr-submit-comment-letter-capital-treatment-tbas2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/16/2013/ability-repay-standards-under-truth-lending-act-%28regulation-z%29-proposed-rule-comment-request-%28cfpb-pre-fed.-reg.-version%29-%28-lofchie-comment%292020-12-15T04:45Znever https://www.findknowdo.com/news/05/30/2013/ability-repay-and-qualified-mortgage-standards-under-truth-lending-act-%28reg.-z%29-final-rule-%28cfpb-pre-fed.-reg.-version%292020-12-15T04:31Znever https://www.findknowdo.com/news/01/30/2013/ability-repay-and-qualified-mortgage-standards-under-truth-lending-act-%28regulation-z%29-final-rule-official-interpretations-%28cfpb-fed.-reg.-version%292020-12-15T06:32Znever https://www.findknowdo.com/news/01/30/2013/ability-repay-standards-under-truth-lending-act-%28regulation-z%29-proposed-rule-comment-request-%28cfpb-fed.-reg.-version%292022-08-30T19:04Znever https://www.findknowdo.com/news/12/03/2014/academic-paper-asserts-benefits-high-frequency-trading-and-extreme-price-movements2020-09-28T15:10Znever https://www.findknowdo.com/news/10/31/2014/academic-paper-investigates-advantage-high-frequency-traders-sec-dissemination-process-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/03/05/2014/academic-researchers-find-sec-employees-know-when-fold-em2021-06-28T16:46Znever https://www.findknowdo.com/news/10/02/2012/acceptance-comments-regarding-study-stable-value-contracts-request-comment-reopening-comment-period-%28cftc-and-sec-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2012/acceptance-public-submissions-regarding-stable-value-contracts-%28sec/cftc-pre-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2011/acceptance-submissions-study-international-swap-regulation2020-12-15T04:19Znever https://www.findknowdo.com/news/07/26/2012/account-ownership-and-control-report-withdrawal-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/09/2012/acer-publishes-guidance-inside-information-and-suspicious-transactions2020-08-06T22:43Znever https://www.findknowdo.com/news/04/24/2012/acer-sets-out-timetable-tasks-under-remit2021-06-15T20:05Znever https://www.findknowdo.com/news/06/30/2015/acli-criticizes-dols-proposed-fiduciary-rule2020-12-24T14:56Znever https://www.findknowdo.com/news/06/29/2015/acli-files-amicus-brief-metlife-v.-fsoc2020-12-15T03:07Znever https://www.findknowdo.com/news/04/29/2015/acli-submits-statement-house-financial-services-subcommittee-hearing-%28-lofchie-comment%292020-12-15T04:37Znever https://www.findknowdo.com/news/12/05/2014/aclu-submits-comment-letter-finra-cards-proposal-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/03/09/2015/acting-director-sec-division-investment-management-talks-about-data-rics-and-liquidity-%28-lofchie-comment%292021-01-24T02:29Znever https://www.findknowdo.com/news/04/09/2013/adaptation-regulations-incorporate-swaps-records-transactions-%28final-rule-correction%292020-08-24T19:43Znever https://www.findknowdo.com/news/05/21/2012/additional-guidance-finras-new-suitability-rule-%28finra-regulatory-notice%292020-12-15T02:53Znever https://www.findknowdo.com/news/07/25/2011/additional-guidance-reporting-requirements-under-finra-rule-45302020-12-23T17:58Znever https://www.findknowdo.com/news/05/11/2012/additional-statements-thursdays-open-cftc-meeting-designated-contract-markets-and-a-proposed-order-amending-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2011/additional-time-report-certain-newly-reportable-trace-transactions2020-12-15T06:27Znever https://www.findknowdo.com/news/02/27/2013/adjusting-civil-monetary-penalty-amounts-inflation-final-rule-%28sec-pre-fed.-reg.-version%292020-08-06T22:43Znever https://www.findknowdo.com/news/10/25/2012/adjustments-civil-monetary-penalties-inflation-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/31/2012/adoption-updated-edgar-filer-manual-final-rule-%28sec-pre-fed.-reg.-version%292020-12-15T03:55Znever https://www.findknowdo.com/news/09/06/2012/adoption-updated-edgar-filer-manual-final-rule-%28sec-fed.-reg.-version%292020-12-03T05:07Znever https://www.findknowdo.com/news/05/14/2013/adoption-updated-edgar-filer-manual-final-rule-%28sec-pre-fed.-reg.-version%292020-12-03T05:07Znever https://www.findknowdo.com/news/05/09/2012/advocating-greater-federal-and-state-securities-regulatory-cooperation-and-collaboration-%28speech-sec-commissioner-luis-.-aguilar%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/20/2015/aei-issues-special-polling-report-five-year-anniversary-dodd-frank-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/03/21/2013/ag-committee-approves-bills-would-amend-dodd-frank2021-01-06T01:51Znever https://www.findknowdo.com/news/02/01/2011/agencies-announce-start-initial-registration-period-under-s..f.e.-acts-mortgage-loan-originator-provisions2020-12-03T00:48Znever https://www.findknowdo.com/news/12/27/2013/agencies-are-reviewing-treatment-specified-collateralized-debt-obligations-under-volcker-rule2020-12-15T05:17Znever https://www.findknowdo.com/news/07/13/2012/agencies-continue-rulemakings-clarifying-specific-provisions-orderly-liquidation-authority-gao-%28dodd-frank-study%292020-12-15T05:08Znever https://www.findknowdo.com/news/06/23/2014/agencies-issue-addendum-interagency-policy-statement-income-tax-allocation-holding-company-%28fed.-reg.%29-%28-lofchie-comment%292020-12-15T05:06Znever https://www.findknowdo.com/news/01/18/2013/agencies-issue-final-rule-appraisals-higher-priced-mortgage-loans2021-06-14T16:02Znever https://www.findknowdo.com/news/02/13/2013/agencies-issue-final-rule-appraisals-higher-priced-mortgage-loans-final-rule-%28fed.-reg.-version%292020-12-15T04:57Znever https://www.findknowdo.com/news/12/12/2013/agencies-issue-final-rule-exempt-subset-higher-priced-mortgage-loans-appraisal-requirements2020-12-15T06:21Znever https://www.findknowdo.com/news/06/09/2015/agencies-issue-final-standards-assessing-diversity-policies-and-practices-regulated-entities2021-06-18T16:09Znever https://www.findknowdo.com/news/12/10/2013/agencies-issue-final-volcker-rule2021-06-11T20:02Znever https://www.findknowdo.com/news/11/15/2012/agencies-issue-supplemental-statement-supervisory-practices-regarding-financial-institutions-and-borrowers-affected-hurricane-sandy2020-08-06T22:43Znever https://www.findknowdo.com/news/03/21/2013/agencies-issue-updated-leveraged-lending-guidance2022-08-30T19:04Znever https://www.findknowdo.com/news/02/09/2011/agencies-propose-changes-reporting-requirements-ots-regulated-savings-associations-and-savings-and-loan-holding-companies2020-08-06T22:43Znever https://www.findknowdo.com/news/10/18/2013/agencies-propose-rule-change-regarding-credit-risk-retention-securitized-assets-%28fed.-reg.%292021-06-12T11:41Znever https://www.findknowdo.com/news/09/03/2013/agencies-provide-model-template-submission-tailored-resolution-plans2020-12-15T05:50Znever https://www.findknowdo.com/news/09/24/2012/agencies-release-regulatory-capital-estimation-tool-assist-assessing-potential-effects-recently-proposed-regulatory-capital-rules2020-08-24T19:53Znever https://www.findknowdo.com/news/03/19/2013/agencies-release-proposed-revisions-interagency-qa-community-reinvestment2020-08-24T19:43Znever https://www.findknowdo.com/news/09/08/2014/agencies-request-comment-proposed-questions-and-answers-regarding-community-reinvestment2022-08-30T19:04Znever https://www.findknowdo.com/news/08/28/2013/agencies-request-comments-re-proposed-risk-retention-rules2020-12-20T12:21Znever https://www.findknowdo.com/news/06/12/2012/agencies-seek-comment-regulatory-capital-rules-and-finalize-market-risk-rule-%28fdic-occ-federal-reserve-joint-press-release%292020-12-15T06:44Znever https://www.findknowdo.com/news/01/14/2013/agency-information-collection-activities-under-omb-review-notice-issued-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2012/agency-information-collection-activities-announcement-board-approval-under-delegated-authority-and-submission-omb-request-comments-extension-comment-period-%28frb%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/16/2012/agency-information-collection-activities-submission-omb-review-comment-request-%28occ-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/agenda-sec-open-meeting-wednesday-july-11-20122020-08-06T22:43Znever https://www.findknowdo.com/news/05/30/2012/aggregation-position-limits-futures-and-swaps-proposed-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/04/2011/agricultural-advisory-committee-meeting2020-12-15T04:09Znever https://www.findknowdo.com/news/08/09/2011/agricultural-swaps-cftc-dodd-frank-rulemaking-final-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/18/2014/agriculture-committee-representatives-support-cftc-approval-utility-swaps-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/08/2014/aicpa-holds-conference-sec-and-pcaob-developments2021-06-17T15:45Znever https://www.findknowdo.com/news/07/22/2014/aifmd-transitional-period-ends2021-06-28T15:39Znever https://www.findknowdo.com/news/09/21/2012/aima-announces-new-chairman-kathleen-casey-%28former-sec-commissioner%292021-06-11T21:39Znever https://www.findknowdo.com/news/09/26/2012/aima-announces-new-global-governing-council2021-06-11T21:37Znever https://www.findknowdo.com/news/08/19/2015/aima-calls-aifmd-passport-cayman-islands2021-06-18T15:58Znever https://www.findknowdo.com/news/10/22/2012/aima-calls-ucits-depositary-passport-regime2021-06-11T20:58Znever https://www.findknowdo.com/news/06/12/2013/aima-ceo-baker-step-down-end-20132021-06-13T03:05Znever https://www.findknowdo.com/news/11/11/2013/aima-names-jack-inglis-ceo2021-06-12T21:51Znever https://www.findknowdo.com/news/05/06/2015/aima-paper-indicates-hedge-funds-are-replacing-banks-credit-suppliers-businesses-%28-lofchie-comment%292021-06-21T20:13Znever https://www.findknowdo.com/news/05/28/2013/aima-paper-deeper-international-coordination-otc-derivatives-regulations-%28-lofchie-comment%292021-06-13T15:18Znever https://www.findknowdo.com/news/09/05/2013/aima-publishes-enhanced-statement-principles2021-06-13T14:39Znever https://www.findknowdo.com/news/04/29/2015/aima-publishes-updated-guide-fund-directors2021-06-21T18:47Znever https://www.findknowdo.com/news/10/09/2013/aima-publishes-updated-guide-sound-practices-hedge-fund-valuation2021-06-13T00:02Znever https://www.findknowdo.com/news/04/28/2014/aima-releases-educational-guide-understanding-hedge-fund-performance2021-06-28T16:48Znever https://www.findknowdo.com/news/09/03/2014/aima-updates-due-diligence-questionnaire-investors-hedge-funds2021-06-23T21:35Znever https://www.findknowdo.com/news/06/03/2015/aima-updates-due-diligence-questionnaire-selecting-fund-hedge-funds-managers2021-06-21T19:36Znever https://www.findknowdo.com/news/07/24/2013/aima/ey-survey-finds-mixed-progress-towards-aifmd-transposition2021-06-13T14:44Znever https://www.findknowdo.com/news/06/20/2013/aima-countdown-aifmd-and-upcoming-changes-fatca2021-06-13T00:24Znever https://www.findknowdo.com/news/11/01/2013/alec-j.-burnside-discusses-aer-lingus-minority-shareholdings-deal2020-08-24T19:31Znever https://www.findknowdo.com/news/03/24/2015/alj-issues-decision-case-involving-short-sales-role-compliance-and-supervisory-liability2020-12-15T02:59Znever https://www.findknowdo.com/news/08/06/2015/alj-shows-mercy-ex-compliance-officer-%28-lofchie-comment%292020-12-15T04:27Znever https://www.findknowdo.com/news/06/18/2012/alternatives-use-external-credit-ratings-regulations-occ-%28final-rule%292024-01-31T14:59Znever https://www.findknowdo.com/news/08/08/2013/aluminum-purchaser-files-lawsuit-against-large-financial-institutions-driving-aluminum-prices2020-08-06T22:43Znever https://www.findknowdo.com/news/06/14/2013/amelia-cottrell-named-associate-regional-director-enforcement-new-york-office2020-08-06T22:43Znever https://www.findknowdo.com/news/01/06/2014/amendment-finra-rule-8312-expand-categories-civil-judicial-disclosures-permanently-included-brokercheck-%28fed.-reg.%292020-08-24T19:31Znever https://www.findknowdo.com/news/08/09/2011/amendment-finra-proposal-customer-account-statements-%28proposing%292020-12-15T06:35Znever https://www.findknowdo.com/news/03/23/2011/amendments-regarding-obligation-search-lost-securityholders-paying-agents-obligation-search-missing-securityholders2020-12-03T05:45Znever https://www.findknowdo.com/news/03/03/2011/amendments-commodity-pool-operator-and-commodity-trading-advisor-regulations-resulting-dodd-frank-act2020-12-15T03:50Znever https://www.findknowdo.com/news/08/23/2012/amendments-commodity-pool-operator-and-commodity-trading-advisor-regulations-resulting-dodd-frank-act-final-rule-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2011/amendments-cpo-and-cta-compliance-obligations2021-01-24T05:17Znever https://www.findknowdo.com/news/09/05/2012/amendments-cpo-and-cta-regulations-resulting-dodd-frank-act-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/amendments-cuban-assets-control-regulations2020-08-06T22:43Znever https://www.findknowdo.com/news/04/05/2011/amendments-draft-report-proposal-regulation-otc-derivatives-central-counterparties-and-trade-repositories.2020-08-06T22:43Znever https://www.findknowdo.com/news/05/09/2012/amendments-financial-responsibility-rules-broker-dealers-sec-release-34-66910-%28sec-proposed-rule-reopening-comment-period%292020-08-24T19:59Znever https://www.findknowdo.com/news/09/12/2011/amendments-finra-trade-reporting-requirements-transactions-distribution-%28notice%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/06/2012/amendments-mediation-code-provide-mediation-director-discretion-determine-whether-parties-finra-mediation-may-select-mediator-who-...-%28finra-regulatory-notice%292020-08-06T22:43Znever https://www.findknowdo.com/news/01/18/2011/amendments-nfa-financial-requirements-forex-dealer-members2024-01-29T03:21Znever https://www.findknowdo.com/news/09/30/2013/amendments-nfas-business-continuity-and-disaster-recovery-plan-effective-date2020-12-15T04:50Znever https://www.findknowdo.com/news/02/28/2011/amendments-nyse-rule-1600-implement-rule-201-reg.-sho2021-06-11T19:48Znever https://www.findknowdo.com/news/07/01/2013/amendments-require-public-disclosure-additional-information-related-deal-contributions-bond-ballot-campaigns2022-08-30T19:04Znever https://www.findknowdo.com/news/01/14/2011/amendments-rules-practice-relating-sro-rulemaking2020-08-24T19:59Znever https://www.findknowdo.com/news/01/27/2011/amendments-draft-report-credit-rating-agencies-future-perspectives2024-01-31T15:00Znever https://www.findknowdo.com/news/12/08/2014/american-bankruptcy-institute-publishes-final-report-regarding-chapter-11-reform2020-08-24T19:03Znever https://www.findknowdo.com/news/07/09/2012/ameris-bank-moultrie-georgia-assumes-all-deposits-montgomery-bank-trust-ailey-georgia-%28fdic-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/03/04/2011/amicus-brief-sifma-ubs-financial-services-v.-west-virginia-hospitals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/10/2012/amicus-brief-aig-v.-bank-america-corp.2020-12-15T03:37Znever https://www.findknowdo.com/news/10/21/2014/amicus-curiae-brief-regarding-apa-rulemaking-process2020-08-24T19:03Znever https://www.findknowdo.com/news/01/14/2013/amy-friend-named-occ-chief-counsel2020-12-15T04:12Znever https://www.findknowdo.com/news/05/23/2013/analysis-european-commission-staff-proposed-financial-transaction-tax2020-08-24T19:43Znever https://www.findknowdo.com/news/01/10/2011/analysis-cftc-position-points-lack-bite-hard-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/13/2012/andrew-bowden-named-deputy-director-secs-office-compliance-inspections-and-examinations2020-08-06T22:43Znever https://www.findknowdo.com/news/10/18/2012/andrew-calamari-named-sec-director-new-york-regional-office2020-08-06T22:43Znever https://www.findknowdo.com/news/10/12/2012/annual-company-run-stress-test-requirements-banking-organizations-total-consolidated-assets-over-10-billion-other-covered-companies-final-rule-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/12/2012/annual-report-guidance-commodity-pool-operators2020-12-15T02:57Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-occ-regulated-institutions-final-rule-%28occ-pre-fed.-reg.-version%29-%28-musical-link%292021-06-11T21:28Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-fdic-regulated-institutions-final-rule-%28fdic-pre-fed.-reg.-version%292020-12-15T06:39Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-requirements-frb-regulated-institutions-final-rule-%28frb-pre-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/15/2012/annual-stress-test-final-rule-%28fdic-fed.-reg.-version%292020-12-15T02:21Znever https://www.findknowdo.com/news/03/18/2011/antidisruptive-practices-authority2020-12-15T04:05Znever https://www.findknowdo.com/news/05/28/2013/antidisruptive-practices-authority-%28fed.-reg.-version-interpretive-guidance-and-policy-statement%292020-12-15T04:27Znever https://www.findknowdo.com/news/07/28/2015/appeals-court-revives-lawsuit-challenging-cfpbs-constitutionality2020-12-15T05:08Znever https://www.findknowdo.com/news/08/18/2015/appeals-court-upholds-decision-voids-part-secs-conflict-minerals-rule-%28-lofchie-comment%292020-12-15T03:50Znever https://www.findknowdo.com/news/08/09/2011/application-financial-responsibility-rules-relating-downgrade-u.s.-long-term-credit-rating2024-01-31T15:00Znever https://www.findknowdo.com/news/01/04/2011/approval-amendments-rule-13-increase-transaction-assessments2020-08-24T19:59Znever https://www.findknowdo.com/news/01/26/2011/approval-application-chemung-financial-corporation-elmira-new-york2020-08-24T19:59Znever https://www.findknowdo.com/news/04/05/2011/approval-finra-amendments-discovery-guide-and-rules-arbitration-procedure2020-12-03T01:46Znever https://www.findknowdo.com/news/07/07/2011/approval-finra-proposal-establish-registration-category-and-examination-and-education-requirements-operations-personnel2020-12-15T03:33Znever https://www.findknowdo.com/news/02/28/2011/approval-finra-rule-4360-%28fidelity-bonds%292020-08-06T22:43Znever https://www.findknowdo.com/news/03/03/2011/approval-finra-rules-governing-carrying-agreements-security-counts-and-supervision-general-ledger-accounts2020-12-15T06:38Znever https://www.findknowdo.com/news/05/01/2014/approval-finra-proposed-rule-regarding-corporate-financing-rules-%28fed.-reg.%292020-12-15T05:44Znever https://www.findknowdo.com/news/01/24/2011/approval-new-bond-trading-license-and-establishment-bond-liquidity-providers-new-market-class2020-09-28T15:10Znever https://www.findknowdo.com/news/04/07/2011/approval-occ-proposal-relating-stock-loan-programs2020-08-06T22:43Znever https://www.findknowdo.com/news/11/01/2011/approval-occ-rule-change-relating-methods-liquidation-defaulting-members-account-%28final-rule%29-sec-release-no.-34-656542020-09-28T15:10Znever https://www.findknowdo.com/news/11/01/2011/approval-occ-rule-fitness-standards-directors-clearing-members-and-others-%28final-rule%29-sec-release-no.-34-656482020-08-24T19:59Znever https://www.findknowdo.com/news/04/07/2011/approval-rule-change-relating-requirement-maintain-balance-certificate-fast-program2020-08-06T22:43Znever https://www.findknowdo.com/news/10/10/2013/approved-amendments-finra-rule-9217-regarding-minor-rule-violations-%28fed.-reg.%292020-12-15T06:34Znever https://www.findknowdo.com/news/03/26/2013/arbitration-clauses-customer-agreements-%28law360-article-brad-bondi-and-jason-halper%292021-06-14T13:37Znever https://www.findknowdo.com/news/04/23/2015/article-casts-doubt-significance-and-causes-flash-crash2020-12-15T04:10Znever https://www.findknowdo.com/news/04/30/2013/article-energy-metro-desk-omalias-tac-terror-tweets-and-industry-initiatives2020-12-15T04:22Znever https://www.findknowdo.com/news/08/18/2011/oil-spiked-many-traded-%28news-story%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/07/2013/aseel-rabie-joins-sifma-managing-director-and-associate-general-counsel2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/08/2012/asf-asks-cftc-relief-regulation-securitization-vehicles-pools-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/11/2011/ashland-v.-morgan-stanley-co.-inc.2020-09-28T15:10Znever https://www.findknowdo.com/news/03/01/2011/assessing-possible-sources-systemic-risk-hedge-funds-report-findings-hedge-fund-survey-and-hedge-fund-counterparty-survey2020-09-28T15:12Znever https://www.findknowdo.com/news/07/05/2012/assessment-fees-large-bank-holding-companies-and-nonbank-financial-companies-supervised-federal-reserve-board-cover-expenses-financial-research-fund-gao-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/04/08/2015/associate-director-division-trading-and-markets-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/05/18/2015/associate-director-division-trading-and-markets-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/01/10/2013/association-corporate-treasurers-publishes-guidelines-emir-implementation-non-financial-companies2021-06-14T16:07Znever https://www.findknowdo.com/news/04/13/2015/associations-send-letter-senate-support-cybersecurity-information-sharing-act-2015-%28-lofchie-comment%292021-03-20T16:47Znever https://www.findknowdo.com/news/04/24/2014/associations-submit-comments-cftc-package-trades2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2014/associations-submit-opposition-cftc-motion-file-supplemental-declaration-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/06/26/2014/associations-submit-response-cftcs-notice-supplemental-authority-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/07/29/2014/associations-submit-response-cftcs-second-notice-supplemental-authority-cftc-cross-border-guidance-case2021-01-20T13:55Znever https://www.findknowdo.com/news/08/24/2012/assorted-final-and-immediately-effective-rule-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/08/09/2012/assorted-final-and-immediately-effective-sro-rule-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/08/13/2012/assorted-final-and-immediately-effective-sro-rules2020-12-15T04:42Znever https://www.findknowdo.com/news/05/02/2013/assorted-immediately-effective-securities-sro-rule-changes2020-12-15T04:28Znever https://www.findknowdo.com/news/12/20/2012/assorted-immediately-effective-and-proposed-securities-sro-rule-changes-including-extension-finra-notice-application-rules-security-based-swaps2020-12-15T04:05Znever https://www.findknowdo.com/news/11/07/2012/assorted-immediately-effective-securities-sro-rule-changes2020-12-15T03:52Znever https://www.findknowdo.com/news/12/28/2012/assorted-immediately-effective-sro-rules-changes2020-12-15T05:52Znever https://www.findknowdo.com/news/11/06/2012/assorted-securities-sro-rule-changes2024-01-31T17:23Znever https://www.findknowdo.com/news/01/14/2013/assorted-securities-sro-rule-changes-effective-immediately2020-12-15T04:32Znever https://www.findknowdo.com/news/05/03/2013/assorted-securities-sro-rule-changes-including-several-propose-rules-concerning-fatca2020-12-15T03:04Znever https://www.findknowdo.com/news/11/26/2012/assorted-securities-sro-rules-changes2020-12-15T02:51Znever https://www.findknowdo.com/news/12/17/2012/assorted-security-sro-rule-changes2020-12-15T02:27Znever https://www.findknowdo.com/news/09/06/2012/assorted-sro-rule-changes2020-12-15T17:25Znever https://www.findknowdo.com/news/08/29/2012/assorted-sro-rule-changes-and-proposals2020-08-24T19:53Znever https://www.findknowdo.com/news/08/05/2012/assorted-sro-rule-changes-most-which-are-effective-immediately2020-12-15T06:31Znever https://www.findknowdo.com/news/08/02/2012/assorted-sro-rule-changes-most-which-are-immediately-effective2020-12-15T05:59Znever https://www.findknowdo.com/news/08/20/2012/assorted-sro-rules2020-08-06T22:43Znever https://www.findknowdo.com/news/08/21/2012/assorted-sro-rules-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/02/11/2011/center-derivatives-debate-gung-ho-regulator2020-12-15T04:54Znever https://www.findknowdo.com/news/03/19/2014/attorney-general-calls-new-efforts-eliminate-special-services-provided-trading-venues-hfts-%28-lofchie-comment%292020-12-03T16:22Znever https://www.findknowdo.com/news/02/02/2011/aucune-de-theorie-aucune-devidence-pas-de-problem2020-12-15T05:43Znever https://www.findknowdo.com/news/02/12/2013/audit-cftcs-protection-identity-whistleblowers-foia-inquiries2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/22/2015/australian-parliament-passes-investment-manager-regime-legislation-%28-lofchie-comment%292021-06-18T20:42Znever https://www.findknowdo.com/news/04/03/2013/australian-securities-and-investments-commission-releases-consultation-paper-and-report-dark-liquidity-and-high-frequency-trading2021-06-14T13:31Znever https://www.findknowdo.com/news/05/22/2013/australian-securities-exchange-says-hft-rules-wont-improve-market-confidence2020-12-03T01:33Znever https://www.findknowdo.com/news/05/02/2014/austria-signs-model-2-fatca-iga-u.s.-israel-and-others-agree-substance-model-1-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/07/31/2014/automated-matching-systems-exchange-llc-files-limited-volume-exemption-registration-national-securities-exchange2020-12-04T22:39Znever https://www.findknowdo.com/news/12/10/2012/available-now-comprehensive-set-cpo-cta-materials-now-cabinet-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/09/16/2011/can-cftc-see-big-picture-cftc-commissioner-omalia-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/danger-will-robinson-advanced-analytics-and-regulation-markets2020-12-15T03:48Znever https://www.findknowdo.com/news/09/13/2011/expect-unexpected-%28bart-chilton-cftc-commissioner%29-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/22/2011/financial-institutions-new-regulatory-environment-opportunities-constraints-and-global-challenges-%28speech-cftc-chairman-gensler%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/16/2011/here-help-%28speech%292020-12-15T04:31Znever https://www.findknowdo.com/news/02/02/2011/nyse-co-owned-clearinghouse-wins-cftc-approval-%28reuters%29-and-cftc-grants-license-new-york-portfolio-clearing-%28bloomberg%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/16/2011/speculators-and-commodity-prices2020-12-15T05:08Znever https://www.findknowdo.com/news/03/27/2011/stopping-stammering-overcoming-obstacles-financial-regulatory-reform2020-12-15T05:19Znever https://www.findknowdo.com/news/11/08/2011/t-minus-0-%28speech%292020-12-15T05:53Znever https://www.findknowdo.com/news/01/24/2011/desk-chiefs-position-limits-and-omalia-aye2020-12-15T06:26Znever https://www.findknowdo.com/news/06/20/2012/good-doctors-keynote-address-cftc-commissioner-bart-chilton-mutual-fund-directors-forum-2012-policy-conference2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/16/2011/pandemic-ponzimonium-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/06/21/2012/what-a-concept-commissioner-bart-chiltons-opening-statement-cftc-technology-advisory-committee-meeting2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/01/2012/where-are-we-and-where-should-we-be-thoughts-mf-global-and-high-frequency-trading-%28speech%292020-12-15T04:26Znever https://www.findknowdo.com/news/06/13/2012/where-history-comes-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/30/2011/whistling2024-01-30T02:46Znever https://www.findknowdo.com/news/09/14/2012/back-basics-better-alternative-basel-capital-rules-thomas-m.-hoenig-director-fdic-delivered-american-banker-regulatory-symposium-washington-d.c.2021-06-11T21:48Znever https://www.findknowdo.com/news/04/10/2013/bahamas-ministry-finance-hosts-regional-conference-fatca2020-08-24T19:43Znever https://www.findknowdo.com/news/11/05/2014/bahamas-signs-model-1-fatca-iga2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2014/bank-agencies-finalize-technical-correction-risk-based-capital-rules2021-06-28T16:56Znever https://www.findknowdo.com/news/02/10/2011/bank-levy-rates-be-increased-raising-ps800m-more-20112020-08-24T20:06Znever https://www.findknowdo.com/news/08/12/2015/bank-england-governor-calls-more-authority-regulate-derivatives-hedge-funds-and-other-non-bank-financial-firms-%28-lofchie-comment%292021-06-18T17:01Znever https://www.findknowdo.com/news/05/26/2015/bank-england-issues-consultation-paper-suspension-customers-early-termination-rights2020-12-15T02:11Znever https://www.findknowdo.com/news/01/15/2013/bank-england-outlines-extent-powers-supplement-capital-requirements2021-06-14T16:06Znever https://www.findknowdo.com/news/06/06/2012/bank-england-publishes-paper-implicit-subsidy-uk-banks2021-06-15T19:59Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-adopt-revisions-supplementary-leverage-ratio2021-06-17T17:05Znever https://www.findknowdo.com/news/08/28/2014/banking-agencies-announce-meetings-consider-rulemakings-margin-and-capital-requirements-and-liquidity-coverage-ratio2021-06-11T18:18Znever https://www.findknowdo.com/news/06/16/2015/banking-agencies-finalize-revisions-capital-rules-applicable-advanced-approaches-banking-organizations2021-06-18T19:41Znever https://www.findknowdo.com/news/12/20/2013/banking-agencies-issue-faq-document-regarding-collateralized-debt-obligations-backed-trust-preferred-securities2020-12-15T05:59Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-issue-final-liquidity-coverage-ratio-regulations2021-06-17T17:27Znever https://www.findknowdo.com/news/07/01/2014/banking-agencies-issue-guidance-home-equity-lines-credit-nearing-end-draw-periods2020-08-24T19:23Znever https://www.findknowdo.com/news/07/01/2013/banking-agencies-issue-host-state-loan-deposit-ratios2020-12-15T03:55Znever https://www.findknowdo.com/news/11/18/2014/banking-agencies-propose-technical-corrections-and-clarifications-capital-rules2020-12-15T04:48Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-re-propose-margin-and-capital-requirements-covered-swap-entities2020-12-24T15:00Znever https://www.findknowdo.com/news/12/19/2012/banking-agencies-release-annual-cra-asset-size-threshold-adjustments-small-and-intermediate-small-institutions2020-08-06T22:43Znever https://www.findknowdo.com/news/01/10/2014/banking-agencies-release-public-sections-resolution-plans-banks-less-100-billion-qualifying-nonbank-assets2020-12-15T05:45Znever https://www.findknowdo.com/news/12/03/2013/banking-regulators-and-cftc-hold-meetings-approve-volcker-rule%28s%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2012/banking-regulators-announce-civil-monetary-penalties-aml-and-bank-secrecy-act-violations2021-06-16T14:15Znever https://www.findknowdo.com/news/10/02/2012/banking-regulators-reopen-comment-period-swap-margin-and-capital-proposed-rulemaking-%28frb-fdic-occ-fca-and-fhfa-joint-release-fed.-reg.-version%29-%28-lofchie-comment%292022-11-09T18:36Znever https://www.findknowdo.com/news/09/26/2012/banking-regulators-reopen-comment-period-swap-margin-and-capital-proposed-rulemaking-%28frb-fdic-occ-fca-and-fhfa-joint-release%29-%28-lofchie-comment%292022-11-09T18:36Znever https://www.findknowdo.com/news/10/15/2012/banking-rule-change2021-06-16T14:18Znever https://www.findknowdo.com/news/04/24/2014/banks-ask-irs-delay-fatca-six-months2020-12-15T02:23Znever https://www.findknowdo.com/news/07/03/2012/banks-settle-fsa-mis-sold-interest-rate-hedges2022-04-30T03:23Znever https://www.findknowdo.com/news/05/30/2014/barbados-and-uae-agree-substance-fatca-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/07/03/2012/barclays-hit-substantial-fines-libor-and-euribor-misconduct2020-08-06T22:43Znever https://www.findknowdo.com/news/02/19/2013/basel-committee-and-iosco-issue-near-final-proposal-margin-requirements-non-centrally-cleared-derivatives2020-12-15T03:14Znever https://www.findknowdo.com/news/09/03/2013/basel-committee-and-iosco-release-margin-requirements-non-centrally-cleared-derivatives-final-framework2020-12-15T06:55Znever https://www.findknowdo.com/news/03/18/2015/basel-committee-and-iosco-revise-implementation-schedule-margin-requirements-uncleared-swaps2020-12-15T05:17Znever https://www.findknowdo.com/news/04/15/2014/basel-committee-issues-final-standard-capital-treatment-bank-exposures-central-parties2020-12-15T05:50Znever https://www.findknowdo.com/news/05/13/2011/basel-committee-banking-supervision-range-methodologies-risk-and-performance-alignment-remuneration2020-08-06T22:43Znever https://www.findknowdo.com/news/09/21/2012/basel-committee-releases-results-quantitative-impact-study2020-12-15T05:13Znever https://www.findknowdo.com/news/10/31/2012/basel-committee-reports-basel-iii-implementation2020-12-15T04:53Znever https://www.findknowdo.com/news/01/26/2011/basel-ii-advanced-approaches-anpr2020-08-24T19:59Znever https://www.findknowdo.com/news/07/30/2012/bats-extending-pilot-program-related-clearly-erroneous-execution-reviews2020-08-06T22:43Znever https://www.findknowdo.com/news/07/30/2012/bats-extending-pilot-program-related-trading-pauses-due-extraordinary-market-volatility2020-12-03T22:28Znever https://www.findknowdo.com/news/07/30/2012/bats-proposed-rule-change-amend-rule-20.6-entitled2020-08-06T22:43Znever https://www.findknowdo.com/news/07/24/2012/bats-proposed-rule-change-amend-telemarketing-requirements2021-02-01T19:42Znever https://www.findknowdo.com/news/02/03/2015/bats-files-market-structure-rulemaking-petition-sec-and-sends-letter-public-%28-lofchie-comment%292023-01-01T20:29Znever https://www.findknowdo.com/news/11/04/2014/bats-global-markets-announces-new-president2020-08-06T22:43Znever https://www.findknowdo.com/news/04/10/2015/bats-global-markets-announces-successful-operation-u.s.-businesses-local-disaster-recovery-site2020-12-15T05:55Znever https://www.findknowdo.com/news/01/14/2015/bats-proposes-elimination-one-size-fits-all-u.s.-equity-market2021-06-21T21:18Znever https://www.findknowdo.com/news/04/16/2015/bats-launch-second-u.s.-options-exchange-%28-lofchie-comment%292020-12-15T03:33Znever https://www.findknowdo.com/news/01/24/2011/battle-lines-drawn-over-commodities-trading2020-12-15T04:50Znever https://www.findknowdo.com/news/01/18/2013/battle-over-swaps-trade-reporting-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/02/11/2013/baucus-comment-confirmation-hearing-treasury-nominee-jack-lew2020-08-24T19:43Znever https://www.findknowdo.com/news/12/06/2013/baucus-proposes-repeal-portfolio-interest-exemption-corporate-issuers2020-08-24T19:31Znever https://www.findknowdo.com/news/02/04/2013/bba-confirms-phased-discontinuation-certain-libor-rates-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/11/12/2012/bba-consults-libor-reforms2021-06-11T20:49Znever https://www.findknowdo.com/news/03/18/2011/bcbs-and-cpss-issue-guidance-foreign-exchange-settlement-risk2020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/bcbs-and-iosco-launch-consultation-margin-non-centrally-cleared-derivatives2020-12-15T05:19Znever https://www.findknowdo.com/news/04/02/2013/bcbs-and-iosco-publish-responses-consultation-margin-requirements2021-06-14T13:36Znever https://www.findknowdo.com/news/07/03/2012/bcbs-consults-domestic-systemically-important-banks2020-09-28T15:13Znever https://www.findknowdo.com/news/12/22/2014/bcbs-issues-consultative-document-regarding-revisions-standardized-approach-credit-risk2020-12-15T02:21Znever https://www.findknowdo.com/news/07/30/2012/bcbs-issues-interim-rules-capitalising-exposures-ccps2020-12-15T06:53Znever https://www.findknowdo.com/news/06/06/2012/bcbs-launches-consultation-review-trading-book-capital-requirements2020-08-06T22:43Znever https://www.findknowdo.com/news/06/29/2011/bcbs-publishes-measures-systemically-important-banks2020-08-06T22:43Znever https://www.findknowdo.com/news/01/04/2011/bd-and-ia-renewals-20112020-08-24T19:59Znever https://www.findknowdo.com/news/02/09/2011/belarus-sanctions-regulations-update2020-08-06T22:43Znever https://www.findknowdo.com/news/06/17/2014/belarus-georgia-and-five-other-countries-reach-agreement-substance-u.s.-under-fatca-text-south-african-iga-released2020-08-24T19:23Znever https://www.findknowdo.com/news/04/29/2014/belgium-and-australia-sign-fatca-igas-u.s.-bahamas-cypress-among-other-countries-substance-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/03/23/2011/beneficial-ownership-reporting-requirements-and-security-based-swaps2020-12-14T08:10Znever https://www.findknowdo.com/news/07/30/2012/berkshire-bank-files-class-action-suit-over-libor2020-12-15T03:59Znever https://www.findknowdo.com/news/08/05/2013/bermuda-agrees-fatca-model-2-iga2020-08-24T19:38Znever https://www.findknowdo.com/news/05/01/2013/bermuda-sign-model-2-fatca-iga-u.s.2020-08-24T19:43Znever https://www.findknowdo.com/news/05/10/2013/bernanke-monitoring-financial-system2020-12-15T05:41Znever https://www.findknowdo.com/news/03/20/2014/better-markets-amicus-brief-supports-cftcs-cross-border-guidance2024-02-07T20:40Znever https://www.findknowdo.com/news/12/13/2012/bill-facilitating-information-sharing/cfpb-and-other-u.s.-government-agencies2020-08-24T19:46Znever https://www.findknowdo.com/news/04/08/2011/bipartisan-letter-advises-regulators-exempt-end-users-margin-requirements2020-12-15T06:53Znever https://www.findknowdo.com/news/07/30/2015/bipartisan-letter-cautions-against-dols-fiduciary-rule-proposal2020-12-15T06:44Znever https://www.findknowdo.com/news/11/04/2011/bis-%28basel-committee%29-consultation-paper-capitalisation-bank-exposures-central-counterparties2020-12-15T06:46Znever https://www.findknowdo.com/news/10/31/2012/bis-report-future-computer-trading-financial-markets-international-perspective2020-12-03T01:33Znever https://www.findknowdo.com/news/03/21/2011/bis-press-release-bcbs-and-cpss-issue-guidance-foreign-exchange-settlement-risk2020-09-28T15:13Znever https://www.findknowdo.com/news/01/11/2011/bis-principles-economic-regulation-call-evidence2020-08-24T19:59Znever https://www.findknowdo.com/news/03/27/2014/bitcoins-bankruptcy-trouble-ahead-investors-and-bankruptcy-professionals2020-12-15T03:04Znever https://www.findknowdo.com/news/07/23/2013/bitcoins-sec-issues-fraud-charge-and-alert-conflict-cftc-come2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2014/blackrock-report-calls-reforms-market-structure-%28-lofchie-comment%292020-12-03T11:45Znever https://www.findknowdo.com/news/10/23/2013/blog-post-quotes-commissioner-wetjen-position-limits2020-12-15T04:39Znever https://www.findknowdo.com/news/04/17/2013/bloomberg-v.-cftc-margin-levels2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2013/board-and-fdic-provide-additional-instructions-submission-some-resolution-plans2020-12-15T06:54Znever https://www.findknowdo.com/news/09/05/2012/boe-governor-haldane-speech-criticizing-regulatory-complexity2021-06-11T18:47Znever https://www.findknowdo.com/news/05/07/2013/bond-traders-charged-kickback-scheme-%28-bondi-and-clark-comment%292020-12-15T05:17Znever https://www.findknowdo.com/news/08/06/2012/box-proposed-rule-amend-price-improvement-period2020-08-06T22:43Znever https://www.findknowdo.com/news/02/02/2011/bp-says-us-weighing-gas-market-manipulation-charges2020-08-06T22:43Znever https://www.findknowdo.com/news/11/15/2012/bp-pay-penalty-settle-sec-charges-securities-fraud-during-deepwater-horizon-oil-spill2020-08-24T19:46Znever https://www.findknowdo.com/news/09/15/2014/brian-hunter-agrees-pay-750000-settlement-cftc-and-accepts-registration-ban2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/20/2013/brief-american-petroleum-institute-et-al.-v.-sec-%28u.s.-district-court-district-columbia-12-1668%292020-12-15T06:34Znever https://www.findknowdo.com/news/12/17/2012/british-banking-association-reports-libor-consultation-findings2021-06-11T20:17Znever https://www.findknowdo.com/news/01/16/2013/british-banking-association-suggests-improvements-banking-standards2021-06-14T16:05Znever https://www.findknowdo.com/news/10/28/2014/british-regulators-launch-fair-and-effective-markets-review-%28-lofchie-comment%292021-06-28T15:57Znever https://www.findknowdo.com/news/06/10/2015/british-regulators-release-fair-and-effective-markets-review-final-report2020-08-24T18:15Znever https://www.findknowdo.com/news/11/20/2014/broker-dealer-and-officials-agree-settle-sec-market-access-violation-charges2020-12-15T03:43Znever https://www.findknowdo.com/news/08/03/2015/brookings-institute-hosts-discussion-structural-issues-within-u.s.-bond-markets-%28-lofchie-comment-and-delta-strategy-group-summary%292021-06-21T19:22Znever https://www.findknowdo.com/news/05/09/2013/bruce-karpati-chief-enforcement-division-asset-management-unit-leave-sec-after-12-years2021-01-24T05:23Znever https://www.findknowdo.com/news/07/25/2012/bsecc-proposed-rule-change-respect-amendment-laws-its-parent-corporation-nasdaq-omx-group-%28pre-fed.-reg.-version%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/05/2013/bsecc-and-ise-issue-rule-changes2020-12-15T02:20Znever https://www.findknowdo.com/news/01/26/2011/budget-choices-imperil-us-cftc-data-storage-omalia2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/02/2013/business-conduct-and-documentation-requirements-sds-and-msps-extension-compliance-date-%28fed.-reg.-version%292020-08-24T19:51Znever https://www.findknowdo.com/news/12/23/2010/business-conduct-standards-swap-dealers-and-major-swap-participants-counterparties2020-08-06T22:43Znever https://www.findknowdo.com/news/02/27/2012/business-conduct-standards-swap-dealers-and-major-swap-participants-counterparties-%28final-rules%292022-11-19T16:53Znever https://www.findknowdo.com/news/12/22/2010/busy-bureaucrats-inundate-derivatives-traders2020-12-15T02:46Znever https://www.findknowdo.com/news/12/10/2013/buy-side-associations-request-relief-regulations-incorporate-swaps-records-transactions2020-12-15T04:27Znever https://www.findknowdo.com/news/09/02/2014/buy-side-associations-request-cftc-allow-limited-netting-otc-swaps-purposes-determining-eligibility-registration-exemptions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/20/2014/buy-side-trade-associations-criticize-basel-ii-capital-requirements-%28-lofchie-comment%292020-12-15T06:58Znever https://www.findknowdo.com/news/12/30/2013/buy-side-trade-associations-submit-follow-letter-sec-cds-portfolio-margin2020-12-15T03:37Znever https://www.findknowdo.com/news/09/20/2013/buy-side-trade-associations-submit-joint-letter-sec-cds-customer-portfolio-margining2021-01-24T05:18Znever https://www.findknowdo.com/news/01/10/2011/buyside-seeks-clearer-view-otc-trading-reconstruction2020-12-15T04:12Znever https://www.findknowdo.com/news/04/04/2013/bvi-announces-intention-enter-model-1b-fatca-iga-agreement2020-08-24T19:43Znever https://www.findknowdo.com/news/03/12/2014/bvi-initials-fatca-iga-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/06/30/2014/bvi-signs-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/07/24/2012/byx-proposed-rule-change-related-telemarketing2021-02-01T19:42Znever https://www.findknowdo.com/news/12/07/2012/cf-alert-uk-chancellors-autumn-statement-2012-key-taxation-aspects2020-08-24T19:51Znever https://www.findknowdo.com/news/01/14/2011/c.f.t.c.-proposes-curbs-speculative-commodity-trading2020-12-15T06:28Znever https://www.findknowdo.com/news/04/25/2011/cc-product-eligibility-matrix2020-08-06T22:43Znever https://www.findknowdo.com/news/06/25/2012/calculation-maximum-obligation-limitation-%28fdic-final-rule%292020-12-15T02:26Znever https://www.findknowdo.com/news/03/20/2013/california-hedge-fund-manager-agrees-1.8-million-settlement-raj-rajaratnam-insider-trading-case2020-12-15T02:30Znever https://www.findknowdo.com/news/12/17/2012/call-public-comment-uk-special-administration-regime-investment-banks2020-12-15T03:03Znever https://www.findknowdo.com/news/02/28/2014/camp-draft-tax-reform-proposal-would-tax-carried-interests-ordinary-income-and-mark-market-financial-derivatives2020-08-24T19:23Znever https://www.findknowdo.com/news/02/05/2014/canada-and-hungary-sign-fatca-igas-united-states2021-06-28T17:14Znever https://www.findknowdo.com/news/05/06/2014/canada-announces-sanctions-against-russian-entities-%28-turza-comment%292021-06-28T15:53Znever https://www.findknowdo.com/news/06/23/2014/canada-imposes-sanctions-ukrainian-and-russian-individuals-%28-turza-comment%292021-06-28T15:35Znever https://www.findknowdo.com/news/03/18/2014/canada-puts-russians-cold-%28-turza-comment%292021-06-17T16:53Znever https://www.findknowdo.com/news/11/29/2012/canadian-bankers-seek-extend-grandfathering-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/03/13/2015/canadian-securities-industry-group-recommends-delaying-implementation-provisions-regarding-treatment-dividend-equivalent-payments2020-08-06T22:43Znever https://www.findknowdo.com/news/06/21/2012/canceled-todays-cftc-open-meeting-cross-border-application-certain-swaps-provisions-cea2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/13/2011/capital-requirements-swap-dealers-and-major-swap-participants2020-12-15T04:27Znever https://www.findknowdo.com/news/12/04/2012/capital-margin-and-segregation-requirements-security-based-swap-dealers-and-major-security-based-swap-participants-and-capital-requirements-broker-dealers-proposed-rule-correction-%28sec-fed.-reg.2023-08-21T13:23Znever https://www.findknowdo.com/news/11/26/2012/capital-margin-and-segregation-requirements-security-based-sds-and-msps-and-capital-requirements-broker-dealers-proposed-rule-%28sec-fed.-reg.-version%29-%28-a-sort-lofchie-comment%292023-08-21T13:23Znever https://www.findknowdo.com/news/12/22/2010/capitalization-bank-exposures-central-counterparties-consultative-document2020-08-24T19:59Znever https://www.findknowdo.com/news/06/26/2012/carrie-moore-named-occ-director-congressional-liaison-%28occ-press-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/04/24/2015/cash-rich-u.s.-owned-foreign-insurance-companies-targeted-proposed-irs-regulations2020-08-24T19:00Znever https://www.findknowdo.com/news/12/18/2012/caution-cftc-requirement-tape-recording2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2014/cayman-directors-registration-and-licensing-law-2014-now-effective-%28-conyers-dill-pearman-alert%292020-08-06T22:43Znever https://www.findknowdo.com/news/08/14/2013/cayman-islands-concludes-fatca-iga-and-new-tax-information-exchange-agreement-united-states2020-08-24T19:38Znever https://www.findknowdo.com/news/08/01/2014/cayman-islands-finalizes-fatca-guidance-and-regulations-bvi-publishes-draft-guidance-notes2021-06-28T17:02Znever https://www.findknowdo.com/news/03/18/2013/cayman-islands-adopt-model-i-fatca-iga2020-08-24T19:43Znever https://www.findknowdo.com/news/04/10/2013/chairman-gensler-remarks-u.s.-chamber-commerce-seventh-annual-capital-markets-summit2020-08-24T19:43Znever https://www.findknowdo.com/news/01/06/2014/chairman-gensler-sends-one-final-note-cftc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/chairman-genslers-departing-remarks-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/03/20/2013/chairman-genslers-remarks-international-monetary-fund-conference2020-08-24T19:43Znever https://www.findknowdo.com/news/04/10/2013/chairman-genslers-statement-cftc-budget-%28-dissenting-commissioners-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/14/2013/chairman-genslers-testimony-dodd-frank-title-vii-%28-lofchie-comment%292020-12-15T02:29Znever https://www.findknowdo.com/news/02/27/2013/chairman-hensarling-announces-hearing-schedule-march2020-08-24T19:43Znever https://www.findknowdo.com/news/05/31/2013/chairman-hensarling-announces-hearings-proxy-services-and-other-issues-%28-lofchie-comment%292020-12-15T03:27Znever https://www.findknowdo.com/news/06/14/2013/chairman-hensarling-announces-remainder-committees-june-schedule2020-12-15T02:24Znever https://www.findknowdo.com/news/04/26/2013/chairman-hensarling-announces-house-financial-services-committee-will-follow-law-cfpb-testimony-and-will-not-hear-cordrays-testimony2020-12-15T06:56Znever https://www.findknowdo.com/news/06/04/2013/chairman-hensarling-critizes-designation-institutions-too-big-fail2020-12-15T05:22Znever https://www.findknowdo.com/news/03/12/2013/chairman-hensarling-questions-legality-cfpb-funding2020-12-15T02:47Znever https://www.findknowdo.com/news/01/28/2013/chairman-hensarling-says-house-financial-services-committee-will-advance-proposal-bring-accountability-and-oversight-cfpb2020-12-15T03:33Znever https://www.findknowdo.com/news/05/22/2013/chairman-hensarling-statement-financial-services-committee-hearing2020-12-15T05:56Znever https://www.findknowdo.com/news/05/07/2013/chairman-hensarling-statement-full-committee-markup2020-12-15T06:31Znever https://www.findknowdo.com/news/07/12/2012/chairman-mary-l.-shapiros-opening-statement-sec-open-meeting-consolidated-audit-trail2021-06-15T19:52Znever https://www.findknowdo.com/news/08/05/2012/chairman-schapiro-statement-knight-capital-group-trading-issue2020-12-03T22:28Znever https://www.findknowdo.com/news/04/02/2013/chairman-walter-investor-protection-and-financial-literacy-george-washington-university2020-08-24T19:43Znever https://www.findknowdo.com/news/04/08/2013/chairman-walter-regulation-cross-border-otc-derivatives-activities-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/07/30/2013/chairpersons-gensler-and-white-testify-mitigating-systemic-risk-financial-markets-through-wall-street-reforms2020-12-15T03:57Znever https://www.findknowdo.com/news/03/07/2013/chairwoman-stabenow-and-ranking-member-cochran-seek-public-input-cftc-reauthorization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2014/chamber-commerce-asserts-dividend-equivalent-proposed-regulations-are-too-broad-and-could-hurt-american-businesses-related-irs-notice2020-08-24T19:23Znever https://www.findknowdo.com/news/02/04/2014/chamber-commerce-submits-amicus-brief-regarding-lawsuit-against-cftc-cross-border-rule2021-01-20T13:54Znever https://www.findknowdo.com/news/12/21/2010/chamber-commerce-swaps-expert-join-house-ag-committee2020-12-15T04:54Znever https://www.findknowdo.com/news/06/27/2012/changes-advertising-corporate-financing-new-membership-and-continuing-membership-application-central-registration-depository-and-branch-office-annual-registration-fees-%28finra-regulatory-notice%292020-12-15T04:56Znever https://www.findknowdo.com/news/12/03/2012/changes-frbny-board-directors2026-04-15T21:18Zyearly https://www.findknowdo.com/news/12/06/2012/changes-nfas2020-12-15T06:05Znever https://www.findknowdo.com/news/03/28/2012/changes-qualification-examination-fees-and-new-service-charge-regulatory-element-continuing-education-sessions-taken-outside-united-states2020-12-15T06:46Znever https://www.findknowdo.com/news/08/01/2014/cheryl-lafleur-named-chair-ferc2020-08-24T19:23Znever https://www.findknowdo.com/news/06/20/2012/chicago-board-options-exchange-incorporated-notice-filing-proposed-rule-change-relating-distribution-auction-messages-%28sec-release%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/18/2012/chicago-fed-letter-how-keep-markets-safe-high-speed-trading-era2020-12-15T02:53Znever https://www.findknowdo.com/news/05/21/2013/chicago-fed-paper-urges-markets-slow-trading-%28-lofchie-comment-and-youtube-link%292020-12-15T02:46Znever https://www.findknowdo.com/news/06/21/2012/chicago-mercantile-exchange-inc.-notice-filing-and-order-granting-accelerated-approval-proposed-rule-change-amend-cme-rule-971-reporting-requirements-fcm-clearing-members-%28sec-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/08/20/2014/chief-information-officer-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/09/27/2013/chief-litigation-counsel-leave-sec2021-06-13T14:35Znever https://www.findknowdo.com/news/07/16/2013/chief-enforcement-divisions-structured-and-new-products-unit-kenneth-lench-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/06/27/2014/china-and-saudi-arabia-agree-substance-fatca-igas-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/02/28/2013/china-based-company-and-former-cfo-pay-penalties-disclosure-and-accounting-violations2020-12-15T05:23Znever https://www.findknowdo.com/news/03/29/2013/chinese-husband-wife-duo-and-affiliates-agree-pay-3.3-million-settle-charges-insider-trading-case2020-12-15T06:53Znever https://www.findknowdo.com/news/09/24/2012/citi-pay-penalty-position-limits-violation-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/06/2013/city-harrisburg-charged-fraudulent-public-statements-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/04/03/2012/clamping-down-derivatives-trade2020-08-06T22:43Znever https://www.findknowdo.com/news/07/01/2013/class-no-action-letter-issued-sec-staff-foreign-options-markets2021-09-07T16:24Znever https://www.findknowdo.com/news/07/17/2012/clearing-exemption-certain-swaps-entered-cooperatives-proposed-rule-%28cftc-rule-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/21/2012/clearing-exemption-swaps-between-certain-affiliated-entities-proposed-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/11/2013/clearing-exemption-under-part-50-swaps-between-certain-affiliated-entities-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/29/2012/clearing-requirement-determination-under-cea-section-2%28h%29-%28final-rule-pre-fed.-reg.-version%292020-12-15T06:33Znever https://www.findknowdo.com/news/08/07/2012/clearing-requirement-determination-under-section-2%28h%29-cea-proposed-rule-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/29/2012/clients-friends-memo-consumer-financial-protection-bureau-controversial-new-regulator-begins-aggressive-enforcement-settlement-against-financial-services-company2020-12-15T02:27Znever https://www.findknowdo.com/news/04/26/2012/closed-sec-meeting-thursday-april-26-2012-200-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/05/03/2012/closed-sec-meeting-today-200-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/05/11/2012/closed-sec-meeting-today-400-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/09/17/2012/closed-sec-sunshine-act-meeting-settle-enforcement-actions2020-08-06T22:43Znever https://www.findknowdo.com/news/08/21/2014/cme-and-cbot-issue-disciplinary-actions2020-08-24T19:23Znever https://www.findknowdo.com/news/08/17/2011/cme-and-ice-odds-over-cash-contract-rules-%28news-story%292020-08-06T22:43Znever https://www.findknowdo.com/news/10/16/2012/cme-announces-extension-portfolio-margining-otc-interest-rate-swaps-and-futures-customer-accounts2021-06-11T21:03Znever https://www.findknowdo.com/news/09/20/2012/cme-announces-fifth-annual-global-financial-leadership-conference2021-06-11T21:42Znever https://www.findknowdo.com/news/10/14/2014/cme-announces-reduction-workforce2021-06-23T21:17Znever https://www.findknowdo.com/news/06/24/2015/cme-clearing-europe-appoints-new-ceo2021-06-21T19:30Znever https://www.findknowdo.com/news/01/25/2013/cme-clearing-europe-expands-otc-energy-offering-new-european-natural-gas-contracts2021-06-14T15:21Znever https://www.findknowdo.com/news/03/18/2013/cme-clearing-europe-expands-services-introduction-interest-rate-swaps2021-06-14T14:40Znever https://www.findknowdo.com/news/05/12/2014/cme-clearing-europe-receives-approval-new-full-segregation-client-protection-model2024-01-31T02:36Znever https://www.findknowdo.com/news/08/04/2014/cme-clearing-europe-receives-emir-authorization2021-06-28T17:59Znever https://www.findknowdo.com/news/08/17/2012/cme-clearing-europe-accept-gold-collateral2021-06-16T14:25Znever https://www.findknowdo.com/news/08/20/2015/cme-clearing-reduces-irs-guaranty-fund-contribution-members-%28-lofchie-comment%292021-06-18T20:35Znever https://www.findknowdo.com/news/08/05/2015/cme-group-and-china-foreign-exchange-trade-systems-sign-memorandum-understanding2021-06-21T19:18Znever https://www.findknowdo.com/news/09/13/2012/cme-group-and-shanghai-futures-exchange-renew-memorandum-understanding2021-06-16T14:21Znever https://www.findknowdo.com/news/03/11/2014/cme-group-announces-regulatory-approval-new-european-exchange-based-london2021-06-28T17:16Znever https://www.findknowdo.com/news/07/16/2013/cme-group-chairman-duffy-appear-u.s.-senate-committee-agriculture2021-06-13T14:45Znever https://www.findknowdo.com/news/06/24/2015/cme-group-delays-closing-futures-pits-chicago-and-new-york-%28-lofchie-comment%292021-06-18T20:43Znever https://www.findknowdo.com/news/12/17/2014/cme-group-exchanges-issue-market-regulation-advisory-regarding-prohibition-wash-trades2021-06-28T15:06Znever https://www.findknowdo.com/news/09/18/2013/cme-group-files-application-register-sef2020-12-15T06:43Znever https://www.findknowdo.com/news/02/13/2014/cme-group-inc.-names-slate-director-nominees2021-06-17T15:32Znever https://www.findknowdo.com/news/10/12/2012/cme-group-issues-market-regulation-advisory-notice-cme-clearport2021-06-11T17:41Znever https://www.findknowdo.com/news/03/23/2015/cme-group-issues-disciplinary-action-against-fcm2020-08-06T22:43Znever https://www.findknowdo.com/news/06/29/2015/cme-group-issues-disciplinary-action-against-firm-violating-position-limits-rules2020-12-15T05:19Znever https://www.findknowdo.com/news/07/21/2015/cme-group-issues-disciplinary-action-against-spoofing2021-06-18T15:21Znever https://www.findknowdo.com/news/02/20/2015/cme-group-issues-disciplinary-actions2020-12-15T02:51Znever https://www.findknowdo.com/news/02/27/2015/cme-group-issues-disciplinary-actions2020-12-15T03:04Znever https://www.findknowdo.com/news/12/05/2014/cme-group-issues-disciplinary-actions-regarding-block-trades2020-12-15T03:19Znever https://www.findknowdo.com/news/07/31/2012/cme-group-launches-instant-messaging-platform-energy-trading-community2021-06-16T14:29Znever https://www.findknowdo.com/news/02/01/2013/cme-group-names-director-nominees-and-announces-plan-implement-majority-vote-standard2021-06-14T15:19Znever https://www.findknowdo.com/news/01/20/2015/cme-group-releases-white-paper-ccp-issues-%28-lofchie-comment%292021-06-21T21:16Znever https://www.findknowdo.com/news/09/18/2012/cme-group-launch-deliverable-interest-rate-swap-futures2021-06-16T14:21Znever https://www.findknowdo.com/news/03/25/2013/cme-group-webcast-will-offer-assistance-fund-managers-preparing-cftcs-clearing-compliance-date2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cme-groups-acquisition-kansas-city-board-trade2021-06-11T20:35Znever https://www.findknowdo.com/news/08/01/2012/cme-groups-duffy-appear-u.s.-senate-committee-agriculture-discuss-futures-markets-and-failures-mf-global-and-peregrine2021-06-16T14:28Znever https://www.findknowdo.com/news/07/26/2012/cme-groups-executive-chairman-and-president-terry-duffy-appeared-house-committee-agriculture2021-06-16T14:14Znever https://www.findknowdo.com/news/10/30/2014/cme-issues-block-trades-related-disciplinary-action2020-12-03T02:26Znever https://www.findknowdo.com/news/11/06/2014/cme-issues-disciplinary-action-regarding-position-limit-violations2020-08-24T19:03Znever https://www.findknowdo.com/news/10/03/2014/cme-issues-market-regulation-advisory-notice-regarding-block-trades2021-06-23T21:19Znever https://www.findknowdo.com/news/09/25/2014/cme-issues-positions-related-disciplinary-action2021-06-23T21:21Znever https://www.findknowdo.com/news/09/22/2014/cme-issues-two-disciplinary-actions-against-fcms-wash-trading2021-06-23T21:30Znever https://www.findknowdo.com/news/10/27/2014/cme-issues-two-disciplinary-actions-regarding-position-limit-and-wash-trade-violations2020-12-15T02:54Znever https://www.findknowdo.com/news/09/25/2012/cme-open-letter-cme-group-customers-and-market-participants-%28-lofchie-comment%292021-06-11T21:39Znever https://www.findknowdo.com/news/10/01/2013/cme-president-testify-house-committee-agriculture2021-06-13T14:35Znever https://www.findknowdo.com/news/12/23/2013/cme-proposed-rule-requiring-clearing-members-provide-it-liquidity-certain-crises-%28-dewaal-comment%292020-12-15T03:25Znever https://www.findknowdo.com/news/06/18/2015/cme-protects-identity-accused-spoofer-filing-motion-quash2020-08-24T18:15Znever https://www.findknowdo.com/news/12/23/2013/cme-settles-number-violations-%28closeouts-during-delivery-period-breakdown-ats-controls-efrps%29-%28-dewaal-comment%292020-12-03T16:22Znever https://www.findknowdo.com/news/04/14/2014/cme-statement-regarding-braman-suit2021-06-28T17:20Znever https://www.findknowdo.com/news/11/08/2012/cme-sues-cftc-over-reporting-rules-cleared-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/17/2012/cme-acquire-kansas-city-board-trade2021-06-11T20:59Znever https://www.findknowdo.com/news/02/12/2015/cme-cbot-nymex-and-comex-issue-advisory-regarding-daily-submission-large-trader-ownership/control-reports-and-open-interest-data2022-08-30T19:05Znever https://www.findknowdo.com/news/02/11/2011/code-practice-relationship-between-external-auditor-and-supervisor2020-08-06T22:43Znever https://www.findknowdo.com/news/04/01/2015/comex-and-nymex-issue-disciplinary-actions-against-firm-regarding-general-offenses-and-wash-trades2020-08-06T22:43Znever https://www.findknowdo.com/news/11/06/2012/coming-expiration-unlimited-deposit-insurance-%28-lofchie-comment%292020-12-15T05:09Znever https://www.findknowdo.com/news/01/25/2011/comment-letter-cftc-proposed-rule-regarding-conflicts-interest2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/25/2011/comment-letter-cftc-proposed-rule-regarding-protection-cleared-swaps-customers-and-after-commodity-broker-bankruptcies2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/25/2011/comment-letter-cftcs-npr-risk-management-requirements-derivatives-clearing-organizations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/24/2011/comment-request-existing-private-and-public-efforts-educate-investors2021-06-11T18:40Znever https://www.findknowdo.com/news/01/11/2011/comment-request-reporting-pre-enactment-swap-transactions2020-12-15T03:38Znever https://www.findknowdo.com/news/12/20/2010/comments-8th-meeting-commodity-futures-trading-commission-dodd/frank-rulemakings-true-north2020-12-15T03:55Znever https://www.findknowdo.com/news/04/28/2014/comments-frbs-advance-notice-proposed-rulemaking-regarding-physical-commodity-activities2026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/02/2014/comments-requested-published-finra-proposed-rule-change-relating-options-exercise-practices-%28fed.-reg.%292020-12-15T04:19Znever https://www.findknowdo.com/news/03/30/2011/commercial-court-dismisses-investors-claims-she-had-been-misclassified-provided-negligent-advice-and-bank-had-made-misrepresentations-about-investments-bank-leumi-%28uk%29-plc-v-l2020-08-06T22:43Znever https://www.findknowdo.com/news/11/01/2011/commission-announces-proposals-new-market-abuse-legislation2020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/commission-proposes-new-rules-consumer-protection-financial-services2020-08-06T22:43Znever https://www.findknowdo.com/news/08/10/2015/commissioner-aguilar-calls-more-clarity-sec-enforcement-orders-%28-lofchie-comment-and-lofchie-youtube-selection%292020-08-24T18:15Znever https://www.findknowdo.com/news/07/17/2015/commissioner-aguilar-calls-shortening-securities-settlement-cycle-secondary-market-%28-lofchie-comment%292020-09-28T15:10Znever https://www.findknowdo.com/news/06/30/2015/commissioner-aguilar-discusses-role-chief-compliance-officer-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/20/2013/commissioner-aguilar-remarks-shareholders-need-robust-disclosure-exercise-their-voting-rights-investors-and-owners2020-08-06T22:43Znever https://www.findknowdo.com/news/04/16/2013/commissioner-aguilar-speech-fighting-against-efforts-weaken-investor-protections-e.g.-jobs-act-%28-lofchie-comment%292021-01-06T20:49Znever https://www.findknowdo.com/news/08/27/2015/commissioner-aguilar-urges-sec-reform-waiver-review-process-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/04/21/2014/commissioner-aguilar-looking-corporate-governance-investors-perspective-%28-lofchie-comment%292020-12-15T03:55Znever https://www.findknowdo.com/news/02/04/2014/commissioner-aguilar-protecting-financial-future-seniors-and-retirees2020-08-06T22:43Znever https://www.findknowdo.com/news/12/26/2012/commissioner-bart-chilton-remarks-mf-global-claims-and-possible-futures-insurance-and-customer-protection-act2020-08-24T19:46Znever https://www.findknowdo.com/news/05/05/2015/commissioner-bowen-discusses-cftcs-governance-rulemaking-proposal2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/01/2013/commissioner-chilton-advocates-transaction-fees-high-frequency-traders-and-massive-passives-%28-lofchie-comment%292020-12-15T03:47Znever https://www.findknowdo.com/news/11/05/2013/commissioner-chilton-announces-his-departure-cftc-today-%28-youtube-link%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2013/commissioner-chilton-calls-more-regulation-halloween-themed-speech-%28-lofchie-comment%292020-12-15T04:09Znever https://www.findknowdo.com/news/11/12/2013/commissioner-chilton-delivers-remarks-regarding-reasonable-citizenship2020-08-24T19:31Znever https://www.findknowdo.com/news/06/13/2013/commissioner-chilton-speech-balancing-act-requisite-regulation-vs.-regulatory-overreach-%28-lofchie-comment%292020-12-15T04:44Znever https://www.findknowdo.com/news/04/16/2013/commissioner-chilton-speech-titled-kiss2020-08-24T19:43Znever https://www.findknowdo.com/news/04/15/2013/commissioner-chilton-speech-kaleidoscopes-%28-lofchie-comment%292021-06-14T13:28Znever https://www.findknowdo.com/news/11/09/2012/commissioner-chilton-speech-sin-orgy-and-energy-%28-lofchie-comments%292020-12-15T05:52Znever https://www.findknowdo.com/news/10/19/2012/commissioner-chilton-statement-algo-traders-and-penalities2020-12-15T06:23Znever https://www.findknowdo.com/news/03/14/2013/commissioner-chiltons-remarks-futures-industry-association-customer-protection-roundtable2020-12-15T03:10Znever https://www.findknowdo.com/news/07/12/2012/commissioner-daniel-m.-gallaghers-statement-sec-open-meeting-consolidated-audit-trail2021-06-15T19:52Znever https://www.findknowdo.com/news/07/12/2012/commissioner-elisse-b.-walters-opening-remarks-regarding-adoption-final-rules-consolidated-audit-trail2021-06-15T19:53Znever https://www.findknowdo.com/news/08/05/2015/commissioner-gallagher-blasts-dodd-frank2020-12-15T03:25Znever https://www.findknowdo.com/news/04/30/2014/commissioner-gallagher-delivers-remarks-regarding-revised-sec-statement-wksi-waivers-%28-lofchie-comment%292020-12-15T06:46Znever https://www.findknowdo.com/news/05/09/2014/commissioner-gallagher-discusses-enforcement-and-repeat-offenders-securities-industry2020-08-24T19:23Znever https://www.findknowdo.com/news/04/16/2015/commissioner-gallagher-discusses-global-regulatory-harmonization-fsoc-and-fsb-%28-lofchie-comment%292020-12-15T04:51Znever https://www.findknowdo.com/news/03/25/2013/commissioner-gallaghers-key-note-address-symposium-building-financial-system-21st-century-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/12/29/2014/commissioner-giancarlo-discusses-wish-list-cftc-2015-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/27/2015/commissioner-giancarlo-supports-recent-steps-cftc-improve-swaps-trading-rule2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2014/commissioner-giancarlo-talks-about-leading-cftc-energy-and-environmental-markets-advisory-committee2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/19/2011/commissioner-jill-e.-sommers-responds-concerned-customers-mf-global-inc.-%28press-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/12/2012/commissioner-luis-.-aguilar-speech-smart-regulation-keeping-door-open-effective-ideas2020-12-15T03:13Znever https://www.findknowdo.com/news/08/24/2012/commissioner-luis-.-aguilars-statement-regarding-money-market-funds2021-01-24T01:53Znever https://www.findknowdo.com/news/05/22/2013/commissioner-omalia-issues-further-guidance-disruptive-trading-practices-%28-lofchie-comment%292020-12-15T02:43Znever https://www.findknowdo.com/news/10/17/2013/commissioner-omalia-criticizes-cftc-rulemaking-and-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/12/2013/commissioner-omalia-speaks-cross-border-made-available-trade-and-data-management-%28-lofchie-comment%292020-12-15T03:03Znever https://www.findknowdo.com/news/04/26/2013/commissioner-omalia-speech-criticizes-cftcs-implementation-dodd-frank2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/17/2013/commissioner-omalia-reluctantly-concurring-adoption-sef-rules-%28-link-pirrong-blog-item%292020-12-04T02:13Znever https://www.findknowdo.com/news/05/17/2013/commissioner-omalias-dissenting-statement-cftcs-adoption-process-a-designated-contract-market-or-swap-execution-facility-make-a-swap-available-trade-under-section-2%28h%29%288%29-commodity-exchange-act2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/28/2013/commissioner-paredes-congratulates-sec-nominees2020-08-24T19:43Znever https://www.findknowdo.com/news/05/21/2015/commissioner-piwowar-criticizes-frbs-overreach-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/06/2014/commissioner-piwowar-speaks-about-international-financial-regulatory-issues-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/19/2013/commissioner-scott-omalia-delivers-keynote-address-sifma-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/01/2015/commissioner-stein-discusses-short-termism-and-boards-directors-composition-%28-lofchie-comment%292021-01-25T01:03Znever https://www.findknowdo.com/news/06/13/2014/commissioner-stein-discusses-fsoc-and-capital-regulations-broker-dealers-%28-lofchie-comment%292021-06-28T16:01Znever https://www.findknowdo.com/news/06/16/2015/commissioner-stein-discusses-future-mutual-fund-regulation-%28-lofchie-comment%292020-09-28T15:10Znever https://www.findknowdo.com/news/06/09/2014/commissioner-stein-speaks-finras-division-market-regulation-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/06/06/2013/commissioner-walter-remarks-transformation-sec-sec-historical-society-annual-meeting2020-08-06T22:43Znever https://www.findknowdo.com/news/05/31/2013/commissioner-walters-speech-32nd-annual-sec-and-financial-reporting-institute-conference2020-08-24T19:45Znever https://www.findknowdo.com/news/08/29/2012/commissioners-sommers-and-omalia-joint-statement-dissent-clearing-exemption-swaps-between-certain-affiliated-entities2020-12-15T02:50Znever https://www.findknowdo.com/news/07/17/2013/committee-agriculture-hearing-reauthorization-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/16/2013/committee-financial-services-examine-secs-money-market-fund-rule-proposal2021-01-24T01:53Znever https://www.findknowdo.com/news/01/08/2015/committee-rules-u.s.-house-representatives-consider-regulatory-reform-%28-lofchie-comment%292020-12-15T04:23Znever https://www.findknowdo.com/news/01/24/2011/commodities-push-threatened-rules2020-12-15T04:22Znever https://www.findknowdo.com/news/02/03/2011/commodities-traders-may-face-curbs-under-eu-proposal2020-12-15T05:58Znever https://www.findknowdo.com/news/05/04/2011/commodity-futures-trading-commission-votes-establish-new-subcommittee-technology-advisory-committee2020-12-15T04:53Znever https://www.findknowdo.com/news/01/21/2011/commodity-futures-trading-commissions-technology-advisory-committee-meet-january-27-20112020-08-24T19:59Znever https://www.findknowdo.com/news/07/11/2012/commodity-futures-trading-commission-core-principles-and-other-requirements-designated-contract-markets-gao-%28dodd-frank-study%292020-12-15T05:42Znever https://www.findknowdo.com/news/04/23/2013/commodity-markets-oversight-coalition-amicus-brief-sides-cftc-isda-v.-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/19/2012/commodity-markets-oversight-coalitions-letter-cftc-concerning-speculative-position-limits2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/03/2011/commodity-options-and-agricultural-swaps2020-12-15T06:39Znever https://www.findknowdo.com/news/04/27/2012/commodity-options-final-rule-and-interim-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/24/2012/commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations-%28final-rules%292021-01-24T05:18Znever https://www.findknowdo.com/news/02/11/2011/commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations-proposed-rule2021-01-06T05:35Znever https://www.findknowdo.com/news/03/26/2012/commodity-pool-operators-and-commodity-trading-advisors-compliance-obligations-correction2021-01-24T05:18Znever https://www.findknowdo.com/news/07/29/2015/company-settles-after-sec-finds-fcpa-violations2020-12-15T02:23Znever https://www.findknowdo.com/news/08/23/2012/compensating-facebook-ipo-failures-sifma-comment-letter-sec-regarding-a-proposed-amendment-nasdaqs-limitation-liability-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/05/2012/complaint-fcm-fails-monitor-accounts-unregistered-pools-and-fcms2020-12-15T03:36Znever https://www.findknowdo.com/news/07/03/2012/compliance-date-correction-regarding-sec-final-rule-listing-standards-compensation-committees2020-12-03T11:19Znever https://www.findknowdo.com/news/06/26/2015/compliance-date-set-ban-third-party-solicitations-connection-political-contributions2021-02-01T19:48Znever https://www.findknowdo.com/news/04/07/2015/compliance-inspections-and-examinations-director-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/05/16/2014/comptroller-curry-discusses-cyber-risks-related-third-party-service-providers2026-04-15T21:29Zyearly https://www.findknowdo.com/news/11/07/2014/comptroller-curry-discusses-cybersecurity-community-banks2026-04-15T21:29Zyearly https://www.findknowdo.com/news/12/02/2014/comptroller-curry-discusses-efforts-reduce-regulatory-burden-%28-lofchie-comment%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/06/20/2012/comptroller-discusses-response-losses-reported-jpmorgan-chase-%28occ%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/09/21/2012/comptroller-currency-addresses-financial-services-roundtable2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/07/2013/comptroller-currency-curry-bank-secrecy-act-and-aml-statutes2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/04/2013/comptroller-currency-currys-speech-iib-conference-aml2021-03-26T19:12Znever https://www.findknowdo.com/news/11/15/2012/comptroller-currency-currys-speech-steps-prevent-next-fiscal-crisis2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/03/2015/comptroller-currency-discusses-bank-secrecy-act-and-other-issues2026-04-15T21:29Zyearly https://www.findknowdo.com/news/10/31/2012/comptroller-currency-highlights-importance-risk-management2026-04-15T21:29Zyearly https://www.findknowdo.com/news/04/01/2013/comptroller-currency-thomas-j.-curry-named-ffiec-chairman2026-04-15T21:29Zyearly https://www.findknowdo.com/news/07/16/2012/comptroller-statement-regarding-wells-fargo-fair-lending-settlement-%28occ-release%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/11/12/2014/comptroller-thomas-curry-discusses-globalization-bank-supervision-%28-lofchie-comment%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/05/02/2011/concepts-and-questions-cftc-sec-staff-roundtable-discussion-dodd-frank-implementation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/01/2011/concurring-statement-commodity-futures-trading-commission-strategic-plan-fy-2011-20152020-12-15T03:23Znever https://www.findknowdo.com/news/07/05/2012/confidential-treatment-privileged-information-%28cfpb-final-rule%292020-12-15T03:20Znever https://www.findknowdo.com/news/09/11/2012/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-swap-dealers-and-major-swap-participants-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/27/2012/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-swap-dealers-and-major-swap-participants-final-rule-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-sds-and-msps-%28cftc-correcting-amendment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/17/2012/conflict-minerals-disclosure-rule-secs-actions-and-stakeholder-developed-initiatives-gao-%28dodd-frank-study%292020-12-15T05:52Znever https://www.findknowdo.com/news/09/12/2012/conflict-minerals-final-rule-%28sec-fed.-reg.-version%292021-06-11T21:50Znever https://www.findknowdo.com/news/02/09/2011/conformance-period-entities-engaged-prohibited-proprietary-trading-or-private-equity-fund-or-hedge-fund-activities.2021-06-11T20:02Znever https://www.findknowdo.com/news/11/21/2014/conforming-existing-guidance-financial-accounting-standards-board-task-force-sec-staff-accounting-bulletin-no.-115-%28fed.-reg.%292020-12-15T02:11Znever https://www.findknowdo.com/news/12/17/2014/congress-passes-tax-extender-legislation-%28-mulcahy-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/08/2015/congress-reintroduces-master-limited-partnerships-parity-act2020-08-24T18:15Znever https://www.findknowdo.com/news/12/10/2014/congress-vote-bill-repeal-swaps-push-out-requirements-%28-lofchie-comment%292021-01-06T01:51Znever https://www.findknowdo.com/news/03/12/2014/congressional-actions-regard-ukraine-%28-turza-comment%292026-06-19T22:32Zmonthly https://www.findknowdo.com/news/03/24/2014/congressional-democrats-amicus-brief-sides-cftc-sifma-v.-cftc-%28-lofchie-comment-and-energy-metro-desk-article-quoting-commissioner-omalia%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2014/congressional-representatives-and-tech-entrepreneurs-talk-data2020-08-24T19:23Znever https://www.findknowdo.com/news/05/16/2013/congressional-testimony-scheduled-fsoc-annual-report-congress-%28may-21-2013%292020-12-15T05:57Znever https://www.findknowdo.com/news/12/04/2012/congressman-capuanos-report-says-corzine-not-only-one-blame-mf-globals-collapse-%28-lofchie-comment-and-youtube-videos%292020-12-15T03:15Znever https://www.findknowdo.com/news/10/15/2014/congressman-garrett-issues-statement-questioning-need-finra-cards-proposal2020-12-15T06:53Znever https://www.findknowdo.com/news/09/18/2012/congressman-keith-ellison-introduces-bill-tax-wall-street-inclusive-prosperity-act-%28h.r.-6411%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/09/2014/congressmen-send-letter-treasury-secretary-lew-regarding-efforts-restart-private-label-securitization2020-12-15T03:14Znever https://www.findknowdo.com/news/02/11/2011/congressmen-derivatives-execs-urge-less-haste-new-us-swaps-rules2020-12-15T04:23Znever https://www.findknowdo.com/news/04/18/2013/congresspersons-say-secs-failure-implement-bipartisan-jobs-act-harms-economy2020-12-15T02:14Znever https://www.findknowdo.com/news/04/03/2014/consent-order-require-reparations-mf-global-victims-now-effective2020-12-15T04:48Znever https://www.findknowdo.com/news/01/05/2015/considerations-better-regulatory-response-failure-lessons-aviation-industry-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/19/2012/consolidated-audit-trail-final-rule-%28sec%292020-12-15T03:56Znever https://www.findknowdo.com/news/07/05/2012/consolidated-reports-condition-and-income-%28fdic-financial-institution-letter%292021-06-11T18:48Znever https://www.findknowdo.com/news/07/06/2011/consolidated-version-financial-services-and-markets-act-%28fsma%29-highlighting-amendments-draft-financial-services-bill2020-08-06T22:43Znever https://www.findknowdo.com/news/03/18/2011/consultation-early-implementation-amendments-prospectus-directive2020-12-15T04:41Znever https://www.findknowdo.com/news/03/08/2012/consultation-paper-draft-technical-standards-regulation-otc-derivatives-ccps-and-trade-repositories2020-08-06T22:43Znever https://www.findknowdo.com/news/08/05/2015/consumer-finance-protection-bureau-sues-offshore-payday-lender2020-12-15T04:29Znever https://www.findknowdo.com/news/04/15/2011/continuing-education-firm-element-advisory-update2020-12-03T22:38Znever https://www.findknowdo.com/news/11/01/2011/coordination-framework-monitoring-implementation-agreed-g20/fsb-financial-reforms2020-09-28T15:13Znever https://www.findknowdo.com/news/03/18/2011/core-principles-and-other-requirements-designated-contact-markets2020-12-15T03:44Znever https://www.findknowdo.com/news/12/23/2010/core-principles-and-other-requirements-designated-contract-markets2020-12-04T22:39Znever https://www.findknowdo.com/news/06/03/2013/core-principles-and-other-requirements-designated-contract-markets-correction-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/19/2012/core-principles-and-other-requirements-designated-contract-markets-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/04/2013/core-principles-and-other-requirements-swap-execution-facilities-%28final-rule-fed.-reg.-version%292020-12-15T06:23Znever https://www.findknowdo.com/news/09/25/2012/corp.-fin.-no-action-letter-pentair-inc.-and-flow-control-international-ltd.-successor-issues2020-12-04T23:35Znever https://www.findknowdo.com/news/05/12/2014/correction-cftcs-enhancing-customer-protection-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/22/2014/correction-sec-standards-covered-clearing-agencies-proposed-rule-%28fed.-reg.%292020-12-15T05:45Znever https://www.findknowdo.com/news/01/27/2011/costs-expected-limit-new-us-swaps-venues2020-12-15T06:06Znever https://www.findknowdo.com/news/11/29/2011/council-adopts-directive-strengthen-supervision-financial-conglomerates2020-12-15T04:31Znever https://www.findknowdo.com/news/03/08/2012/council-eu-regulation-adopted-short-selling-and-credit-default-swaps2021-06-15T20:07Znever https://www.findknowdo.com/news/07/22/2011/council-register-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories-outcome-european-parliaments-pro2020-08-06T22:43Znever https://www.findknowdo.com/news/04/23/2015/counselor-secretary-housing-finance-policy-speaks-treasurys-rmbs-initiative-%28-schwartz-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/09/15/2014/counselor-treasury-secretary-discusses-reigniting-private-label-mortgage-backed-securities-market2020-12-20T12:21Znever https://www.findknowdo.com/news/10/30/2014/countries-sign-pact-implement-oecds-common-reporting-system-%28-mulcahy-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/07/30/2014/court-denies-cftcs-motion-file-supplemental-authority-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/04/30/2015/court-dismisses-high-frequency-trading-lawsuits2020-08-24T18:15Znever https://www.findknowdo.com/news/11/05/2014/court-enters-final-judgment-against-rengan-rajaratnam-insider-trading2020-12-15T06:28Znever https://www.findknowdo.com/news/12/14/2012/court-enters-final-judgment-against-massachusetts-investment-adviser-and-its-principal-orders-payment-over-1.7-million-illicit-gains-and-penalties2020-08-24T19:51Znever https://www.findknowdo.com/news/01/29/2014/court-enters-judgment-against-three-wall-street-brokers-defrauding-customers2020-08-24T19:23Znever https://www.findknowdo.com/news/05/05/2011/court-finds-individual-liable-clearing-firm-cpr-and-recordkeeping-violations2020-08-06T22:43Znever https://www.findknowdo.com/news/08/04/2014/court-fines-former-firm-employee-misrepresenting-positions2020-08-24T19:23Znever https://www.findknowdo.com/news/03/12/2014/court-imposes-fine-ex-goldman-sachs-trader-defrauding-investors2020-12-15T05:18Znever https://www.findknowdo.com/news/03/21/2013/court-limits-ferc-jurisdiction2020-08-24T19:43Znever https://www.findknowdo.com/news/05/17/2013/court-nixes-recess-appointments-nlrb-potential-application-cfpb2021-06-11T17:33Znever https://www.findknowdo.com/news/12/12/2014/court-orders-former-managing-director-nasdaq-disgorge-insider-trading-profits-%28-bondi-comment%292020-12-15T03:52Znever https://www.findknowdo.com/news/03/14/2013/court-orders-former-prudential-securities-broker-pay-penalties-market-timing-mutual-fund-shares2020-08-06T22:43Znever https://www.findknowdo.com/news/06/24/2014/court-requests-supplemental-briefs-parties-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/08/18/2011/court-ruling-offers-path-challenge-dodd-frank-%28news-story%292020-08-24T19:59Znever https://www.findknowdo.com/news/04/02/2014/court-sentences-former-head-investment-advisory-firm-conspiring-commit-wire-fraud-and-making-false-statement-sec-staff2020-12-15T03:09Znever https://www.findknowdo.com/news/11/29/2011/coutts-fined-ps6.3m-failings-relating-its-sale-aig-fund2020-08-24T20:06Znever https://www.findknowdo.com/news/08/09/2011/covered-securities-pursuant-section-18-securities-act-%28proposal%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/09/2015/cpmi-and-iosco-announce-commencement-first-level-3-pfmi-principles-assessment2020-12-15T05:17Znever https://www.findknowdo.com/news/12/23/2014/cpmi-and-iosco-issue-assessment-methodology-oversight-expectations-applicable-critical-service-providers2021-02-01T19:49Znever https://www.findknowdo.com/news/02/26/2015/cpmi-and-iosco-issue-quantitative-disclosure-standards-central-counterparties2020-12-15T06:22Znever https://www.findknowdo.com/news/10/17/2014/cpmi-and-iosco-issue-report-recovery-financial-market-infrastructures-%28-lofchie-comment%292021-06-23T21:16Znever https://www.findknowdo.com/news/08/19/2015/cpmi-and-iosco-publish-consultative-report-unique-transaction-identifier2020-08-24T18:15Znever https://www.findknowdo.com/news/02/26/2015/cpmi-and-iosco-publish-reports-implementation-principals-market-infrastructures-eu-japan-and-u.s.2020-12-15T06:58Znever https://www.findknowdo.com/news/03/11/2015/cpmi-iosco-begins-review-ccp-stress-testing2023-06-13T16:36Znever https://www.findknowdo.com/news/05/29/2013/cpo-delegation-form-cftc-no-action-request-letter-%28-lofchie-comment-and-youtube-link%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/24/2013/cpo-registration-relief-where-sister-company-serves-stead-%28cftc-letters-13-17-13-18-13-19-and-13-20%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2013/cpss-and-iosco-issue-advisory-document-quantitative-disclosure-central-counterparties-%28-lofchie-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/12/14/2012/cpss-and-iosco-issue-disclosure-framework-and-assessment-methodology-fmis2020-12-15T03:34Znever https://www.findknowdo.com/news/04/17/2013/cpss-and-iosco-monitor-implementation-pfmis2020-12-15T02:22Znever https://www.findknowdo.com/news/04/11/2013/cpss-and-iosco-publish-consultative-report-global-authorities-access-trade-repository-data2020-08-06T22:46Znever https://www.findknowdo.com/news/03/15/2013/cr-intrinsic-%28sac%29-agrees-pay-more-600-million-largest-ever-insider-trading-settlement2020-12-15T04:51Znever https://www.findknowdo.com/news/11/20/2012/cr-intrinsic-investors-llc-et-al.-charged-276-million-scheme-involving-alzheimers-drug-%28largest-insider-trading-case-sec%292020-12-15T05:11Znever https://www.findknowdo.com/news/08/01/2012/cra-list-distressed-or-underserved-nonmetropolitan-middle-income-geographies2021-06-15T19:47Znever https://www.findknowdo.com/news/12/23/2010/credit-rating-standardization-study2024-01-31T15:00Znever https://www.findknowdo.com/news/11/03/2011/credit-ratings-agencies-registration-decisions2024-01-31T15:00Znever https://www.findknowdo.com/news/04/05/2011/credit-risk-retention2020-12-20T12:21Znever https://www.findknowdo.com/news/12/24/2014/credit-risk-retention-rule-%28fed.-reg.%292020-12-20T12:19Znever https://www.findknowdo.com/news/05/20/2014/credit-suisse-fined-after-pleading-guilty-u.s.-tax-charge2020-08-06T22:46Znever https://www.findknowdo.com/news/12/14/2011/cross-references-cea-section-4d-cftc-rules-30.7-part-190-lofchies-guide-cpo/cta-regulation-chapter-12-insolvency.2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/12/2012/cross-border-application-certain-swaps-provisions-commodity-exchange-act-%28cftc-proposed-interpretive-guidance-and-policy-statement%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/07/2014/crown-dependencies-publish-draft-guidance-notes-u.s.-and-uk-fatca-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/12/17/2014/cuba-%28-turza-comment%292021-06-18T00:06Znever https://www.findknowdo.com/news/06/22/2012/current-guidance-economic-analysis-sec-rulemaking-%28sec-division-risk-strategy-and-financial-innovation-memorandum%292020-08-06T22:46Znever https://www.findknowdo.com/news/11/06/2013/customer-class-representatives-cme-group-and-mf-global-trustee-announce-agreements-expedite-payments-mf-global-customers2021-06-12T11:40Znever https://www.findknowdo.com/news/08/05/2011/customer-clearing-documentation-and-timing-acceptance-clearing-cftc/sec-rulemaking-correction2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/26/2012/customer-clearing-documentation-timing-acceptance-clearing-and-clearing-member-risk-management-core-principles-and-other-requirements-designated-contract-markets-final-rule-correction2022-08-30T19:05Znever https://www.findknowdo.com/news/04/09/2012/customer-clearing-documentation-timing-acceptance-clearing-and-clearing-member-risk-management-final-rule2022-11-19T16:20Znever https://www.findknowdo.com/news/02/01/2011/customer-option-choose-all-public-arbitration-panel-all-cases2020-08-06T22:46Znever https://www.findknowdo.com/news/09/13/2012/customer-outcomes-madoff-liquidation-proceeding-%28gao-report%292020-08-06T22:46Znever https://www.findknowdo.com/news/07/11/2012/cyprus-publishes-programme-eu-council-presidency2020-08-06T22:46Znever https://www.findknowdo.com/news/07/20/2015/d.c.-circuit-affirms-sec-order-against-investment-advisors-marking-close2020-08-06T22:46Znever https://www.findknowdo.com/news/08/15/2014/d.c.-circuit-court-affirms-ferc-order-no.-10002020-08-24T19:23Znever https://www.findknowdo.com/news/08/01/2014/d.c.-circuit-decision-clarifies-scrutiny-level-first-amendment-challenges-disclosure-requirements-and-affects-conflict-minerals-rule-%28-woody-comment-and-lofchie-youtube-selection%292020-12-15T04:00Znever https://www.findknowdo.com/news/05/14/2014/d.c.-circuit-denies-emergency-motion-stay-conflict-minerals-rule-%28-woody-comment%292020-12-15T04:20Znever https://www.findknowdo.com/news/04/14/2014/d.c.-circuit-strikes-down-part-secs-conflict-minerals-rule-%28-woody-comment%292020-12-15T04:36Znever https://www.findknowdo.com/news/11/19/2014/d.c.-circuit-rehear-case-conflict-minerals-rule-%28-woody-comment%292021-06-17T16:05Znever https://www.findknowdo.com/news/09/16/2014/d.c.-district-court-issues-opinion-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/12/20/2012/daily-segregated-secured-30.7-sequestered-and-forex-statements-federal-holidays2020-12-15T06:41Znever https://www.findknowdo.com/news/12/13/2012/danforth-townley-named-attorney-fellow-secs-division-investment-management2020-08-06T22:46Znever https://www.findknowdo.com/news/01/15/2013/david-grim-named-deputy-director-secs-division-investment-management2021-01-24T05:23Znever https://www.findknowdo.com/news/11/03/2011/dbrs-fitch-moodys-and-sp-receive-eu-registration2021-06-11T18:00Znever https://www.findknowdo.com/news/04/23/2013/deadline-business-conduct-standards-and-documentation-requirements-sds-and-msps-%28nfa-notice-1-13-11%292020-08-24T19:43Znever https://www.findknowdo.com/news/01/18/2011/deadlines-missed-financial-overhaul-rules2020-12-15T05:41Znever https://www.findknowdo.com/news/09/10/2012/dealer-registration-date2020-08-24T19:53Znever https://www.findknowdo.com/news/04/01/2013/dealers-must-disclose-more-information-contributions-bond-ballot-campaigns2020-08-24T19:45Znever https://www.findknowdo.com/news/12/06/2012/dear-chairman-gensler-i-have-many-questions-.-.-.2020-12-15T06:46Znever https://www.findknowdo.com/news/12/19/2012/dear-chairman-gensler-i-have-many-questions-.-.-.-%28-lofchie-comment%292020-12-15T02:09Znever https://www.findknowdo.com/news/04/29/2013/decision-american-petroleum-institute-v.-sec2020-12-15T02:29Znever https://www.findknowdo.com/news/09/24/2012/decision-fx-exemption-likely-not-until-after-november-even-though-swaps-requirements-become-effective-october-12-%28-lofchie-comment%292020-08-24T19:53Znever https://www.findknowdo.com/news/03/11/2014/defendants-settle-sec-fraud-charges-pay-play-case-involving-new-york-state-common-retirement-fund2020-08-06T22:46Znever https://www.findknowdo.com/news/06/18/2012/definition-predominantly-engaged-activities-are-financial-nature-or-incidental-thereto-%28fdic-proposed-rule-supplemental-notice%292020-12-15T04:51Znever https://www.findknowdo.com/news/04/11/2013/delegation-authority-disclose-confidential-information-a-contract-market-registered-futures-association-or-sro-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/17/2015/dell-shareholders-lose-appraisal-rights-due-technical-issues-transaction-%28-mcdonnell-comment-and-lofchie-youtube-selection%292020-12-15T05:42Znever https://www.findknowdo.com/news/06/12/2013/delta-strategy-group-releases-summary-made-available-trade-rule2020-12-15T04:20Znever https://www.findknowdo.com/news/06/27/2013/delta-strategy-group-releases-summary-nominations-sec-commissioners-senate-banking-committee-hearing2020-08-06T22:46Znever https://www.findknowdo.com/news/04/02/2014/delta-strategy-group-summary-house-appropriations-subcommittee-hearing-regarding-sec-budget2020-08-24T19:23Znever https://www.findknowdo.com/news/07/19/2013/delta-strategy-group-summary-final-cftc-cross-border-guidance-and-accompanying-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2014/delta-strategy-group-summary-house-financial-services-committee-hearing-volcker-part-ii2020-12-15T05:08Znever https://www.findknowdo.com/news/09/06/2013/delta-strategy-group-update-basel-and-iosco-final-framework-minimum-margin-requirements2020-12-15T05:18Znever https://www.findknowdo.com/news/07/03/2013/delta-strategy-group-summary-new-basel-capital-proposals2020-12-15T05:19Znever https://www.findknowdo.com/news/08/07/2015/democratic-senators-highlight-costs-dol-fiduciary-proposal-%28-lofchie-comment%292020-12-15T04:41Znever https://www.findknowdo.com/news/08/11/2015/democratic-senators-recommend-fixes-proposed-dol-fiduciary-regs-%28-lofchie-comment%292020-12-15T04:40Znever https://www.findknowdo.com/news/11/20/2012/denmark-signs-fatca-iga-u.s.2020-08-24T19:46Znever https://www.findknowdo.com/news/07/29/2013/denver-regional-office-director-donald-hoerl-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/08/14/2013/department-justice-files-charges-against-two-former-jpm-traders-connection-multi-billion-dollar-trading-loss2020-08-24T19:38Znever https://www.findknowdo.com/news/12/30/2014/department-treasurys-office-foreign-assets-control-takes-steps-wind-down-operations-crimea2021-06-17T17:09Znever https://www.findknowdo.com/news/06/27/2012/dept.-treasury-notice-and-request-comment-public-input-report-congress-u.s.-and-global-reinsurance-market2020-12-15T05:50Znever https://www.findknowdo.com/news/08/01/2013/deputy-chief-economist-leave-sec2021-06-13T14:43Znever https://www.findknowdo.com/news/08/02/2012/deputy-director-division-investment-management-robert-e.-plaze-retiring-after-almost-30-years-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/09/18/2014/deputy-director-trading-and-markets-jim-burns-leaves-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/01/26/2011/derivatives-reform-preparing-change2020-12-15T03:38Znever https://www.findknowdo.com/news/01/26/2011/derivatives-rules-could-be-undone-republican-spending-cuts-frank-says-%28bloomberg%292020-12-15T03:55Znever https://www.findknowdo.com/news/02/01/2011/derivatives-still-flux-dodd-frank-deadline-looms2020-12-15T04:12Znever https://www.findknowdo.com/news/05/22/2013/direct-edge-selects-finra-market-surveillance2020-08-06T22:46Znever https://www.findknowdo.com/news/12/22/2010/directive-2010/73/eu-amending-prospectus-directive-and-transparency-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/05/17/2011/directive-alternative-investment-fund-managers2020-12-15T02:55Znever https://www.findknowdo.com/news/01/10/2014/director-communications-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/10/01/2013/director-division-enforcement-leave-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/18/2012/director-division-investment-management-eileen-rominger-retire-%28sec-press-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/02/15/2013/director-international-affairs-ethiopis-tafara-leave-sec-%28-lofchie-comment%292021-06-14T14:49Znever https://www.findknowdo.com/news/01/03/2014/director-division-consumer-and-community-affairs-retire-frb2026-04-15T21:18Zyearly https://www.findknowdo.com/news/09/11/2014/director-sec-division-investment-management-discusses-current-state-hedge-fund-management-%28-mehta-comment%292021-01-24T05:24Znever https://www.findknowdo.com/news/01/18/2013/disclosure-and-delivery-requirements-copies-appraisals-and-other-written-valuations-under-equal-credit-opportunity-act-%28reg-b%29-final-rule-official-interpretations-%28cfpb-pre-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/02/01/2013/disclosure-and-delivery-requirements-copies-appraisals-and-other-written-valuations-under-equal-credit-opportunity-act-%28regulation-b%29-final-rule-official-interpretations-%28cfpb-feg.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/12/2012/disclosure-payments-resource-extraction-issuers-final-rule-%28sec-fed.-reg.-version%292021-06-11T18:37Znever https://www.findknowdo.com/news/02/14/2011/dissent-commissioner-scott-d.-omalia-fiscal-year-2012-presidents-budget-performance-plan2020-12-15T03:22Znever https://www.findknowdo.com/news/11/21/2012/district-court-dismisses-action-against-gsc-employee-and-employee-agrees-waive-and-release-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/12/04/2012/division-corporation-finance-director-meredith-cross-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/09/19/2011/division-market-oversight-provides-temporary-relief-large-swaps-trader-reporting-physical-commodities-%28letter%292020-12-15T04:41Znever https://www.findknowdo.com/news/12/04/2012/division-trading-and-markets-no-action-letter-regarding-occ-request-extend-relief-limited-waiver-its-laws-and-rules2020-12-15T04:56Znever https://www.findknowdo.com/news/10/19/2012/documents-uk-prudential-regulatory-authority-and-financial-conduct-authority-published2020-08-06T22:46Znever https://www.findknowdo.com/news/05/30/2013/dodd-frank-faqs-%28i%29-conflict-minerals-and-%28ii%29-disclosure-payments-resource-extraction-issuers2020-12-15T04:02Znever https://www.findknowdo.com/news/10/04/2012/dodd-frank-portion-first-presidential-debate2020-08-24T19:53Znever https://www.findknowdo.com/news/01/26/2011/dodd-frank-swaps-rules-deadline-unrealistic-omalia-says2020-12-15T06:43Znever https://www.findknowdo.com/news/11/20/2014/doj-and-sec-representatives-discuss-fcpa-enforcement-%28-bondi-comment%292020-12-15T05:57Znever https://www.findknowdo.com/news/11/19/2013/doj-announces-settlement-jpmorgan-regarding-mortgage-backed-securities-case2020-12-15T04:40Znever https://www.findknowdo.com/news/09/13/2012/dol-news-release-erisa-advisory-council-hold-open-meeting-september-252021-06-11T21:51Znever https://www.findknowdo.com/news/02/11/2013/dol-releases-advisory-opinion-regarding-fiduciary-and-prohibited-transaction-provisions-erisa-certain2021-06-14T14:52Znever https://www.findknowdo.com/news/02/07/2013/dollar-thresholds-exempt-consumer-credit-and-lease-transactions-%28cfpb-final-rules%292021-06-14T15:18Znever https://www.findknowdo.com/news/12/20/2013/dr.-holly-a.-bell-effects-cftc-proposal-regulate-high-speed-trading-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/24/2013/draft-forms-released-irs2020-08-24T19:43Znever https://www.findknowdo.com/news/01/05/2011/draft-opinion-proposal-european-parliament-and-council-regulation-otc-derivatives-central-counterparts-and-trade-repositories2020-08-24T19:59Znever https://www.findknowdo.com/news/10/11/2012/draft-registration-statements-required-be-submitted-and-filed-using-edgar-beginning-october-15-20122020-12-03T05:07Znever https://www.findknowdo.com/news/09/26/2012/draft-registration-statements-be-submitted-and-filed-edgar2020-12-04T23:35Znever https://www.findknowdo.com/news/01/14/2011/drums-along-potomac2021-06-11T20:27Znever https://www.findknowdo.com/news/03/26/2013/drums-along-potomac-%28article-energy-metro-desk%292020-12-15T06:28Znever https://www.findknowdo.com/news/07/02/2014/drums-along-potomac-position-limits-roundtable-%28article-energy-metro-desk%292020-12-15T06:35Znever https://www.findknowdo.com/news/08/17/2011/drums-along-potomac-%28news-story%292021-06-11T18:20Znever https://www.findknowdo.com/news/10/01/2013/drw-investments-suit-forestalls-cftc-enforcement-action2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/dsio-issues-corrected-no-action-letter-13-33-relief-certain-external-business-conduct-standards-and-documentation-standards2020-08-24T19:38Znever https://www.findknowdo.com/news/03/29/2013/dsio-issues-no-action-relief-certain-persons-registration-ib-or-cta-%28cftc-letter-13-04%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2012/dtc-and-nasdaq-rule-changes2020-08-06T22:46Znever https://www.findknowdo.com/news/10/30/2014/dtcc-drops-case-against-cftc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/05/2012/dtcc-post-superstorm-sandy-update-stock-certificates-under-water2020-12-15T03:39Znever https://www.findknowdo.com/news/09/19/2012/dtcc-press-release-cici-portal-registers-and-certifies-over-1100-legal-entities-first-weeks-operation2021-06-11T21:43Znever https://www.findknowdo.com/news/08/08/2013/dtcc-releases-white-paper-systemic-risk-global-securities-industry-beyond-horizon-%28-lofchie-comment%292021-06-13T14:42Znever https://www.findknowdo.com/news/04/08/2013/dual-and-multiple-associations-persons-associated-sds-msps-and-other-commission-registrants-%28fed.-reg.-version-final-rule%292020-08-24T19:43Znever https://www.findknowdo.com/news/06/15/2012/dual-and-multiple-associations-persons-associated-swap-dealers-major-swap-participants-and-other-commission-registrants-proposed-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/14/2013/chto-vytvoryayut-muzhya-i-zheny2020-12-15T03:18Znever https://www.findknowdo.com/news/01/24/2011/eacb-position-paper-consultation-european-commission-concerning-securities-law-directive-%28sld%292020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/eba-issues-guidelines-stressed-var-and-irc2021-06-15T20:03Znever https://www.findknowdo.com/news/03/21/2011/eba-publishes-details-its-stress-test-scenarios-and-methodology2021-07-09T16:50Znever https://www.findknowdo.com/news/06/06/2012/eba-publishes-discussion-paper-template-recovery-plans2021-06-15T20:01Znever https://www.findknowdo.com/news/10/05/2012/eba-publishes-final-report-recapitalization-european-banks2021-06-16T14:20Znever https://www.findknowdo.com/news/07/03/2012/eba-publishes-first-annual-report2021-06-15T19:55Znever https://www.findknowdo.com/news/10/19/2012/eba-publishes-follow-review-banks-transparency-pillar-3-reports2021-06-11T20:59Znever https://www.findknowdo.com/news/01/25/2013/eba-publishes-risk-assessment-european-banking-system2022-07-11T08:55Znever https://www.findknowdo.com/news/01/24/2013/eba-recommends-recovery-plans-cross-border-banking-groups2021-06-12T20:54Znever https://www.findknowdo.com/news/03/13/2013/eba-seeks-public-opinion-technical-standards-recovery-plans2021-06-14T14:41Znever https://www.findknowdo.com/news/06/20/2012/eba-seeks-views-capital-requirements-ccps2021-06-15T19:58Znever https://www.findknowdo.com/news/07/18/2012/ebsa-final-rule-amendment-relating-reasonable-contract-or-arrangement-under-section-408%28b%29%282%292021-06-11T18:20Znever https://www.findknowdo.com/news/01/18/2012/ebsa-letter-cftc-regarding-business-conduct-standards-rules-%28letter%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/01/2013/ec-commissioner-michel-barnier-identifies-three-key-actions-needed-restore-confidence-european-financial-sector2020-12-15T04:29Znever https://www.findknowdo.com/news/06/04/2015/ec-extends-transitional-period-capital-requirements-banks-exposure-ccps-%28-lofchie-comment%292020-12-15T06:51Znever https://www.findknowdo.com/news/03/30/2015/ecb-and-boe-announce-measures-enhance-centrally-cleared-markets-eu-%28-damianova-comment%292020-12-15T05:06Znever https://www.findknowdo.com/news/11/29/2011/ecb-issues-standards-use-central-counterparties-eurosystem-foreign-reserve-management-operations2020-08-06T22:46Znever https://www.findknowdo.com/news/01/18/2011/ecb-opinion-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories-%28con/2011/1%292020-08-24T19:59Znever https://www.findknowdo.com/news/12/04/2014/economic-consulting-group-conducts-cost-benefit-analysis-cftc-proposed-rule-margin-requirements-uncleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/27/2012/edga-extend-operation-pilot-program-relating-clearly-erroneous-trades-effective-immediately-%28pre-fed.-reg.%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/27/2012/edgx-extend-operation-pilot-program-relating-clearly-erroneous-trades-effective-immediately-%28pre-fed.-reg.%292020-08-06T22:46Znever https://www.findknowdo.com/news/07/27/2012/edgx-extend-operation-single-stock-circuit-breaker-pilot-program-effective-immediately-%28pre-fed.-reg.-version%292022-11-21T16:22Znever https://www.findknowdo.com/news/11/30/2011/effective-date-amendments-nfa-bylaws-1301-and-1302-regarding-forex-dues-and-assessments-and-interpretive-notice-entitled-forex-transactions-%28notice%292020-08-06T22:46Znever https://www.findknowdo.com/news/11/30/2011/effective-date-amendments-nfas-forex-requirements-regarding-supervision-and-use-electronic-trading-systems-and-bulk-assignment-and-liquidation-forex-positions-cessation-customer-busin2020-12-03T01:33Znever https://www.findknowdo.com/news/12/07/2011/effective-date-amendments-interpretive-notice-entitled-nfa-compliance-rule-2-9-fcm-and-ib-anti-money-laundering-program-%28notice%292021-03-26T18:58Znever https://www.findknowdo.com/news/10/03/2012/effective-dates-amendments-nfa-bylaw-301-and-registration-rules-401-and-402-regarding-swap-registration-requirements-fcms-ibs-cpos-ctas-and-aps2020-12-15T03:01Znever https://www.findknowdo.com/news/08/26/2015/effective-dates-guidance-new-finra-research-rules-%28regulatory-notices-15-30-and-15-31%292020-12-15T05:15Znever https://www.findknowdo.com/news/02/07/2013/effective-immediately-finra-and-other-assorted-securities-sro-rule-changes2020-12-15T05:16Znever https://www.findknowdo.com/news/10/16/2014/effective-immediately-finra-proposal-permanently-adopt-limited-fee-waiver-pilot-program-%28fed.-reg.%292020-12-15T04:56Znever https://www.findknowdo.com/news/08/11/2011/effectiveness-amendments-finras-trade-reporting-rules-otc-equities-%28sec-release-34-65025%292020-08-06T22:46Znever https://www.findknowdo.com/news/08/11/2011/effectiveness-extension-trading-pause-pilot-%28sec-release-34-65071%292020-12-03T22:28Znever https://www.findknowdo.com/news/01/13/2011/eight-senators-press-regulators-implement-strict-rules-speculation2020-12-15T03:51Znever https://www.findknowdo.com/news/05/24/2012/electronic-filing-form-pf-investment-advisers-pfrd-sec-page-now-available2021-01-24T05:23Znever https://www.findknowdo.com/news/01/22/2013/electronic-fund-transfers-%28regulation-e%29-temporary-delay-effective-date2022-08-30T19:05Znever https://www.findknowdo.com/news/01/29/2013/electronic-fund-transfers-%28regulation-e%29-temporary-delay-effective-date-%28cfpb-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/08/29/2012/eliminating-prohibition-against-general-solicitation-and-general-advertising-rule-506-and-rule-144a-offerings-proposed-amendments-%28sec-pre-fed.-reg.-version%292021-06-11T18:43Znever https://www.findknowdo.com/news/07/11/2013/elizabeth-.-duke-resigns-board-governors-federal-reserve-system2020-12-23T23:22Znever https://www.findknowdo.com/news/11/01/2012/emergency-measure-spanish-cnmv-short-selling-and-certain-aspects-credit-default-swaps2021-06-11T20:53Znever https://www.findknowdo.com/news/04/13/2011/emir-presidency-compromise-proposal2020-08-06T22:46Znever https://www.findknowdo.com/news/07/31/2012/emir-published-official-journal-european-union2020-12-15T04:52Znever https://www.findknowdo.com/news/07/19/2012/end-user-exception-clearing-requirement-swaps-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/21/2011/energy-futures-risk-speculation-limits2020-12-15T05:41Znever https://www.findknowdo.com/news/07/07/2015/energy-industry-commentator-sees-election-year-slowdown2020-12-15T06:00Znever https://www.findknowdo.com/news/11/11/2013/energy-metro-desk-around-desk-article-recent-regulatory-news2020-12-15T06:38Znever https://www.findknowdo.com/news/01/28/2014/energy-metro-desk-drums-along-potomac-focuses-cftc-2014-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/06/2013/energy-metro-desk-drums-along-potomac-focusing-commissioner-omalias-speech-cftc-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/28/2014/energy-metro-desk-article-around-desk-discusses-cftc-data-management2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/13/2014/energy-metro-desk-article-drums-along-potomac-addresses-perspectives-hft-upcoming-tac-meeting2020-12-15T02:58Znever https://www.findknowdo.com/news/03/11/2014/energy-metro-desk-article-drums-along-potomac-discusses-omalias-committee-high-frequency-trading-%28-lofchie-comment%292020-12-15T03:13Znever https://www.findknowdo.com/news/07/24/2014/energy-metro-desk-article-drums-along-potomac-discusses-omalias-thoughts-cftc-issues-and-new-faces-agency2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/20/2014/energy-metro-desk-article-discusses-criminal-charge-spoofing2020-12-15T03:35Znever https://www.findknowdo.com/news/07/29/2013/energy-metro-desk-article-cftc-budget-and-other-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2013/energy-metro-desk-article-disruptive-guidance-cftc-commissioner-omalia2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2013/energy-metro-desk-article-drums-along-potomac2020-12-15T04:43Znever https://www.findknowdo.com/news/07/01/2013/energy-metro-desk-article-drums-along-potomac-%28-lofchie-comment%292020-12-15T04:57Znever https://www.findknowdo.com/news/06/17/2013/energy-metro-desk-article-exchange-rising-%28-lofchie-comment%292020-12-15T05:17Znever https://www.findknowdo.com/news/04/17/2013/energy-metro-desk-articles-regarding-cftc-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/20/2014/energy-metro-desks-around-desk-discusses-cftc-nominations-and-libor2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/09/2013/enforcement-director-robert-khuzami-leave-sec2020-12-15T05:20Znever https://www.findknowdo.com/news/06/27/2014/enforcement-divisions-chief-operating-officer-and-office-international-affairs-chief-counsel-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/01/23/2013/enforcement-initiatives-private-equity-funds-%28-lofchie-comment%292020-08-24T19:51Znever https://www.findknowdo.com/news/01/25/2013/english-high-court-refuses-anonymity-barclays-employees-libor-test-case2020-12-15T04:33Znever https://www.findknowdo.com/news/10/31/2012/enhanced-disclosure-task-force-reports-bank-risk-disclosures-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/11/14/2012/enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-derivatives-clearing-organizations-notice-proposed-rulemaking-%28cftc-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/18/2012/erica-williams-named-secs-deputy-chief-staff-%28sec-press-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/10/22/2013/erisa-advisory-council-meeting-announcement2021-06-12T22:00Znever https://www.findknowdo.com/news/10/11/2012/erisa-advisory-council-hold-final-2012-meeting-oct.-30-312021-06-11T21:08Znever https://www.findknowdo.com/news/06/10/2015/esas-publish-second-consultation-paper-margin-requirements-non-centrally-cleared-derivatives2021-06-18T15:20Znever https://www.findknowdo.com/news/01/15/2013/esma-and-eba-publish-joint-review-euribor2021-06-14T16:05Znever https://www.findknowdo.com/news/05/22/2014/esma-announces-consultation-period-implementation-revised-mifid-ii-mifir2021-06-28T17:21Znever https://www.findknowdo.com/news/11/27/2013/esma-approves-cme-european-trade-repository2021-06-12T21:47Znever https://www.findknowdo.com/news/06/06/2012/esma-approves-use-brazilian-credit-ratings-eu2024-01-31T15:00Znever https://www.findknowdo.com/news/01/12/2011/esma-becomes-operational2020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/esma-begins-aifmd-co-operation-discussions-third-country-supervisors2021-06-11T17:30Znever https://www.findknowdo.com/news/08/30/2011/esma-co-ordinates-action-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/07/22/2011/esma-consultation-amending-prospectus-directive-act-response2021-06-11T18:27Znever https://www.findknowdo.com/news/06/27/2012/esma-consults-prospectus-directive2021-06-15T19:56Znever https://www.findknowdo.com/news/07/26/2011/esma-discussion-paper-esmas-policy-orientations-guidelines-ucits-exchange-traded-funds-and-structured-ucits2022-04-30T03:23Znever https://www.findknowdo.com/news/02/26/2015/esma-finds-best-execution-compliance-under-mifid-low-level2021-06-18T18:18Znever https://www.findknowdo.com/news/06/06/2012/esma-highlights-divergence-use-sanctions-under-mad2021-06-11T17:31Znever https://www.findknowdo.com/news/10/02/2014/esma-issues-commodity-derivative-consultation-paper-%28-topping-comment%292021-06-17T17:30Znever https://www.findknowdo.com/news/11/10/2014/esma-issues-consultation-paper-regarding-technical-standards-reporting2020-08-24T19:03Znever https://www.findknowdo.com/news/12/18/2014/esma-issues-consultation-papers-implementing-central-securities-depositories-regulation-%28-delta-strategy-group-summary%292021-06-17T17:11Znever https://www.findknowdo.com/news/02/04/2015/esma-issues-feedback-statement-central-clearing-non-deliverable-forwards2021-06-18T18:42Znever https://www.findknowdo.com/news/04/02/2015/esma-launches-centralized-data-projects-mifir-and-emir2021-06-21T20:31Znever https://www.findknowdo.com/news/02/13/2012/esma-makes-available-data-credit-ratings-past-performances-central-repository-launched2024-01-31T15:00Znever https://www.findknowdo.com/news/06/06/2012/esma-provides-technical-advice-short-selling-regulation2021-06-15T20:02Znever https://www.findknowdo.com/news/01/09/2012/esma-publishes-2012-work-programme2021-06-15T20:09Znever https://www.findknowdo.com/news/12/22/2014/esma-publishes-cost-benefit-analysis-regarding-mifid-ii2021-06-23T01:41Znever https://www.findknowdo.com/news/10/02/2014/esma-publishes-draft-technical-standards-and-consultation-clearing2020-12-24T15:13Znever https://www.findknowdo.com/news/02/01/2011/esma-publishes-eu-member-state-measures-control-short-selling2021-06-11T20:08Znever https://www.findknowdo.com/news/06/06/2012/esma-publishes-first-regulatory-technical-standards-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/02/13/2012/esma-publishes-guidelines-etfs-and-other-ucits-issues2021-06-11T18:50Znever https://www.findknowdo.com/news/10/22/2012/esma-publishes-links-national-websites-net-short-positions2021-06-11T20:58Znever https://www.findknowdo.com/news/10/05/2012/esma-publishes-list-shares-exempt-short-selling-regulation-%28-lofchie-comment%292020-08-24T19:53Znever https://www.findknowdo.com/news/10/19/2012/esma-publishes-notification-thresholds-sovereign-issuers-%28-lofchie-comment%292021-06-11T21:00Znever https://www.findknowdo.com/news/08/30/2011/esma-publishes-qa-european-money-market-funds2021-06-11T17:07Znever https://www.findknowdo.com/news/09/17/2012/esma-publishes-qa-short-selling-and-cds-regulation-%28including-cross-border-application%292021-06-11T21:49Znever https://www.findknowdo.com/news/07/11/2014/esma-publishes-two-consultation-papers-regarding-clearing-under-emir2020-12-24T15:03Znever https://www.findknowdo.com/news/11/29/2011/esma-publishes-update-eu-short-selling-measures2021-06-11T17:40Znever https://www.findknowdo.com/news/04/01/2015/esma-publishes-updated-list-ccps-authorized-under-emir2021-06-21T20:31Znever https://www.findknowdo.com/news/11/11/2013/esma-publishes-updated-qa-derivatives-regulation-%28-lofchie-comment%292021-06-12T21:55Znever https://www.findknowdo.com/news/05/01/2015/esma-recognizes-third-country-ccps-%28-lofchie-comment-and-youtube-selection%292021-06-21T20:14Znever https://www.findknowdo.com/news/06/27/2012/esma-releases-draft-technical-standards-regulation-otc-derivatives-%28mfa-blog-post%292021-06-15T19:56Znever https://www.findknowdo.com/news/06/04/2013/esma-report-impact-short-selling-regulation2021-06-13T15:15Znever https://www.findknowdo.com/news/03/16/2011/esma-response-european-commission-consultation-csds-and-securities-settlement2021-06-11T17:35Znever https://www.findknowdo.com/news/03/08/2012/esma-securities-and-markets-stakeholder-group-comments-guidelines-mifid2021-06-15T20:06Znever https://www.findknowdo.com/news/07/15/2013/esma-seeks-public-comment-prepared-standards-otc-clearing-obligation2021-06-13T14:48Znever https://www.findknowdo.com/news/02/14/2013/esma-seeks-public-comment-short-selling-and-credit-default-swap-regulation2021-06-14T14:48Znever https://www.findknowdo.com/news/06/27/2012/esma-seeks-views-regulation-otc-derivatives-ccps-and-trade-repositories2021-06-15T19:57Znever https://www.findknowdo.com/news/06/06/2012/esma-solicits-industry-views-transaction-reporting-and-otc-derivatives-guidelines2021-06-15T20:03Znever https://www.findknowdo.com/news/02/11/2014/esma-updates-emir-qa-provides-further-details-trade-reporting2021-06-28T16:44Znever https://www.findknowdo.com/news/04/24/2012/esma-updates-qa-transparency-directive2021-06-16T14:34Znever https://www.findknowdo.com/news/06/23/2014/esma-updates-qas-emir-implementation2021-06-28T16:54Znever https://www.findknowdo.com/news/11/29/2011/esmas-technical-advice-european-commission-possible-implementing-measures-alternative-investment-fund-managers-directive2021-06-11T17:43Znever https://www.findknowdo.com/news/03/21/2011/esma-consultation-esmas-guidelines-application-endorsement-regime-under-article-4-%283%29-credit-rating-regulation-1060/20092024-01-31T15:00Znever https://www.findknowdo.com/news/04/18/2011/esma-consultation-discussion-paper-esmas-policy-orientations-possible-implementing-measures-under-article-3-alternative-investment-fund-managers-directive2021-06-11T18:41Znever https://www.findknowdo.com/news/03/08/2012/esma-key-concepts-alternative-investment-fund-managers-directive-and-types-aifm2021-06-11T18:07Znever https://www.findknowdo.com/news/04/16/2014/estonia-signs-fatca-iga-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/09/15/2014/eu-commissioner-barnier-seeks-u.s.-swaps-deal-%28-lofchie-comment%292020-12-15T02:37Znever https://www.findknowdo.com/news/06/30/2014/eu-commissioner-barnier-accept-clearing-rules-five-countries-outside-eu-not-united-states2020-12-15T02:56Znever https://www.findknowdo.com/news/02/14/2013/eu-commissioner-banks-may-be-forced-participate-setting-euribor2020-12-15T06:22Znever https://www.findknowdo.com/news/10/19/2012/eu-decision-canadian-cra-equivalency-published2020-08-06T22:46Znever https://www.findknowdo.com/news/06/06/2012/eu-ministers-approve-capital-requirements-directive2021-06-15T20:02Znever https://www.findknowdo.com/news/02/10/2011/eu-mulls-penalties-control-derivatives-trade2020-08-06T22:46Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-framework-approximation-sanctioning-regimes-financial-sector2020-08-24T19:59Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-securities-law-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-central-securities-depositories2020-08-24T19:59Znever https://www.findknowdo.com/news/02/10/2015/eu-states-set-target-launch-date-financial-transaction-tax2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2011/eu-call-commodity-derivatives-curbs-%28financial-times%29-and-eu-plans-crack-down-speculation-commodities2020-12-15T05:16Znever https://www.findknowdo.com/news/07/17/2012/eu-us-coalition-calls-regulatory-recognition-and-accreditation2020-08-06T22:46Znever https://www.findknowdo.com/news/08/15/2013/eun-ah-choi-named-managing-executive-secs-division-investment-management2020-08-06T22:46Znever https://www.findknowdo.com/news/05/10/2013/eurex-publishes-report-praise-high-frequency-trading2021-06-13T20:44Znever https://www.findknowdo.com/news/11/09/2012/euroclear-consults-crest-settlement-finality-complex-transactions2020-08-06T22:46Znever https://www.findknowdo.com/news/12/06/2011/euronext-brussels-s..s-request-no-action-relief-connection-offer-and-sale-united-states-its-futures-contract-based-bel-20-stock-index.-%28interpretive-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/05/03/2011/europa-press-release-antitrust-commission-probes-credit-default-swaps-market2020-12-02T23:39Znever https://www.findknowdo.com/news/06/06/2012/europe-miss-key-derivatives-deadlines2021-06-11T17:32Znever https://www.findknowdo.com/news/03/03/2011/european-banking-authority-common-reporting-%28corep%292020-08-06T22:46Znever https://www.findknowdo.com/news/01/14/2011/european-banking-authority-and-running-and-preparing-new-eu-wide-stress-test2020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/european-central-bank-issues-paper-shadow-banking2020-08-06T22:46Znever https://www.findknowdo.com/news/10/30/2014/european-commission-adopts-first-equivalence-decision-central-counterparty-regulatory-regimes-%28-lofchie-comment%292020-12-15T03:51Znever https://www.findknowdo.com/news/07/03/2012/european-commission-adopts-technical-standards-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/02/13/2012/european-commission-blocks-merger-deutsche-borse-and-nyse-euronext2020-08-24T20:06Znever https://www.findknowdo.com/news/01/11/2011/european-commission-consultation-credit-rating-agencies-act-response2024-01-31T15:00Znever https://www.findknowdo.com/news/07/30/2012/european-commission-consults-investment-funds2021-06-11T17:28Znever https://www.findknowdo.com/news/10/08/2012/european-commission-consults-recovery-and-resolution-framework-non-bank-financial-institutions2021-06-16T14:19Znever https://www.findknowdo.com/news/11/29/2011/european-commission-issues-proposal-regulation-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/09/07/2012/european-commission-launches-consultation-benchmarks-and-indices2021-06-16T14:14Znever https://www.findknowdo.com/news/06/13/2012/european-commission-president-calls-eu-banking-union2020-08-06T22:46Znever https://www.findknowdo.com/news/09/13/2012/european-commission-proposes-new-single-supervisory-mechanism-banks2021-06-11T21:54Znever https://www.findknowdo.com/news/10/08/2012/european-commission-endorse-u.s.-canadian-and-australian-cras-equivalent2021-06-11T21:11Znever https://www.findknowdo.com/news/06/06/2012/european-commission-propose-new-framework-bank-recovery-and-resolution2020-08-06T22:46Znever https://www.findknowdo.com/news/03/07/2011/european-commission-alternative-investments-letter-commission-esma-re-extending-deadline2021-06-11T19:21Znever https://www.findknowdo.com/news/04/01/2011/european-commission-commission-adoption-proposal-directive-credit-agreements-relating-residential-property2021-06-11T18:51Znever https://www.findknowdo.com/news/03/08/2012/european-commission-commissioner-barnier-appoints-members-high-level-expert-group-possible-reforms-structure-eu-banking-sector2021-06-11T17:52Znever https://www.findknowdo.com/news/04/06/2011/european-commission-planned-commission-initiatives-until-end-20112020-12-15T06:37Znever https://www.findknowdo.com/news/07/22/2011/european-commission-revision-capital-requirements-directives-%28crd-iv%292021-06-11T18:28Znever https://www.findknowdo.com/news/02/13/2012/european-commission-third-country-equivalence-under-solvency-ii-letter-jonathan-faull-director-general-internal-market-and-services2021-06-15T20:07Znever https://www.findknowdo.com/news/02/20/2013/european-commissioner-barnier-u.s.-eu-cooperation-or-lack-thereof-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/06/04/2013/european-commissioners-invitation-cftc-chairman-extend-cftc-exemptive-order-cross-border-swaps-regulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/11/2011/european-court-justice-rules-interpretation-market-abuse-directive2020-08-24T20:06Znever https://www.findknowdo.com/news/03/03/2011/european-parliament-%28economic-and-monetary-affairs-committee%29-work-derivatives-regulation2021-06-11T19:34Znever https://www.findknowdo.com/news/11/29/2011/european-parliament-adopts-proposal-regulation-short-selling-and-credit-default-swaps2020-12-02T23:39Znever https://www.findknowdo.com/news/06/06/2012/european-parliament-adopts-resolution-financial-transaction-tax2020-08-06T22:46Znever https://www.findknowdo.com/news/10/31/2012/european-parliament-adopts-revised-mifid-rules-regarding-hft-and-position-limits2020-12-15T06:52Znever https://www.findknowdo.com/news/04/16/2014/european-parliament-adopts-updated-rules-markets-financial-instruments-%28mifid-ii%29-%28-damianova-comment%292020-12-15T04:04Znever https://www.findknowdo.com/news/12/12/2012/european-parliament-approves-enhanced-cooperation-agreement-financial-transaction-tax2020-08-06T22:46Znever https://www.findknowdo.com/news/06/27/2012/european-parliament-approves-legislation-sovereign-debt-ratings2020-08-06T22:46Znever https://www.findknowdo.com/news/07/29/2015/european-parliament-members-voice-concern-esma-over-mifid-ii-rts2020-12-15T03:03Znever https://www.findknowdo.com/news/04/06/2011/european-parliament-update-legislative-timetable-amendments-directive-98/26/ec2020-12-15T05:23Znever https://www.findknowdo.com/news/03/25/2011/european-parliament-amendments-draft-report-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories2020-08-06T22:46Znever https://www.findknowdo.com/news/05/16/2011/european-parliament-corporate-governance-financial-institutions2020-08-06T22:46Znever https://www.findknowdo.com/news/04/18/2011/european-parliament-financial-markets-short-selling-and-certain-aspects-credit-default-swaps-plenary-sitting-agenda-debate-set-9-may-and-ep-plenary-sitting-%28indicative-date%29-set-5-aug.2020-12-15T05:57Znever https://www.findknowdo.com/news/01/18/2011/europeanissuers-response-european-commission-consultation-paper-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/03/15/2012/euroption-strategic-fund-ltd-v-skandinaviska-enskilda-banken-ab-2012-ewhc-584-%28comm%292020-08-06T22:46Znever https://www.findknowdo.com/news/01/14/2011/evidence.-what-concept2020-12-15T04:51Znever https://www.findknowdo.com/news/02/09/2011/examinations-insured-depository-institutions-prior-membership-or-mergers-state-member-banks2022-08-30T19:05Znever https://www.findknowdo.com/news/07/30/2012/exchange-act-administrative-proceeding-locateplus-holdings-corporation-%28re-sea-section-12%28j%29%292020-08-24T19:53Znever https://www.findknowdo.com/news/08/12/2013/exchange-rule-change2020-12-15T03:34Znever https://www.findknowdo.com/news/02/01/2011/exemption-threshold-depository-institutions-under-regulation-c2020-08-06T22:46Znever https://www.findknowdo.com/news/07/12/2012/exemptive-order-regarding-compliance-certain-swap-regulations-%28cftc-notice-proposed-exemptive-order-and-request-comment%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/05/2011/expansion-finra-trading-pause-rule2020-12-03T22:28Znever https://www.findknowdo.com/news/11/16/2011/expedited-motion-james-w.-giddens-trustee-liquidation-mf-global-inc.2020-12-15T02:26Znever https://www.findknowdo.com/news/10/16/2013/expungement-finra-arbitrators2022-11-19T17:48Znever https://www.findknowdo.com/news/12/18/2012/extension-bill-extend-deposit-coverage-non-interest-bearing-accounts-defeated2020-12-15T04:26Znever https://www.findknowdo.com/news/03/04/2011/extension-comment-period-regulation-mc2021-01-03T22:23Znever https://www.findknowdo.com/news/01/18/2013/extension-comment-period-rulemaking-enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-dcos-%28extension-comment-period-fed.-reg.-version%292024-01-31T02:37Znever https://www.findknowdo.com/news/09/20/2012/extension-commission-action-proposed-box-and-cboe-sro-rules-changes2020-08-06T22:46Znever https://www.findknowdo.com/news/12/11/2012/extension-dates-certain-requirements-and-amendment-form-19b-4-%28sec-fed.-reg.-version%292020-08-24T19:46Znever https://www.findknowdo.com/news/12/20/2012/extension-dates-certain-requirements-and-amendment-form-19b-4-correction-%28sec-pre-fed.-reg.-version%292021-01-03T20:04Znever https://www.findknowdo.com/news/01/30/2013/extension-exemptions-security-based-swaps-interim-final-rule-%28sec-pre-fed.-reg.-version%292020-12-14T08:18Znever https://www.findknowdo.com/news/02/04/2013/extension-exemptions-security-based-swaps-interim-final-rule-extension-%28sec-fed.-reg.-version%292020-12-14T08:17Znever https://www.findknowdo.com/news/07/16/2012/extension-interim-final-temporary-rule-retail-foreign-exchange-transactions-%28sec-rule-release%292024-01-29T03:21Znever https://www.findknowdo.com/news/08/13/2012/extension-interim-final-temporary-rule-retail-foreign-exchange-transactions-interim-final-temporary-rule-extension-request-comment-%28sec-pre-fed.-reg.-version%292024-01-29T03:20Znever https://www.findknowdo.com/news/06/27/2012/extension-period-commission-action-proposed-rule-change-establish-benchmark-orders-under-nasdaq-rule-4751%28f%29-%28sec-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/06/29/2012/extension-period-sec-action-proposed-rule-change-amending-commentary-.07-nyse-amex-options-rule-904-%28sec-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/09/26/2012/extension-temporary-registration-municipal-advisors-final-rule-extension-%28sec-final-rule-fed.-reg.-version%292020-12-15T05:19Znever https://www.findknowdo.com/news/09/24/2012/extension-temporary-registration-municipal-advisors-final-rule-extension-%28sec-final-rule-pre-fed.-reg.-version%292020-12-15T06:39Znever https://www.findknowdo.com/news/01/11/2011/extension-trace-pilot-program2020-12-15T02:37Znever https://www.findknowdo.com/news/09/19/2011/facilitating-shareholder-director-nominations-%28final-rule%292020-08-06T22:46Znever https://www.findknowdo.com/news/10/26/2012/failure-research-supervision2021-06-11T20:55Znever https://www.findknowdo.com/news/03/21/2012/fair-debt-collection-practices-act-annual-report-consumer-finance-protection-bureau-%28dodd-frank-study%292020-12-15T03:03Znever https://www.findknowdo.com/news/02/04/2011/fao-calls-reversing-deregulation-commodity-markets2020-12-15T02:44Znever https://www.findknowdo.com/news/02/05/2013/faq-%28pretty-much-useless%29-exemption-broker-dealer-registration-jobs-act-%28-lofchie-comment-particularly-funds%292020-12-15T06:22Znever https://www.findknowdo.com/news/07/06/2011/faq-market-orders-and-delayed-implementation-date-finra-rule-5131%28b%29-and-%28d%29%284%292020-12-15T05:51Znever https://www.findknowdo.com/news/10/12/2012/fatca-comments-sifma2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/26/2014/fatca-deadlines-near-irs-still-promising-more-guidance-%28-youtube-selection%292020-08-24T19:23Znever https://www.findknowdo.com/news/06/07/2013/fatca-ffi-agreement2020-08-24T19:38Znever https://www.findknowdo.com/news/03/10/2014/fatca-iga-between-chile-and-united-states-released2020-08-24T19:23Znever https://www.findknowdo.com/news/12/26/2012/fatca-iga-signed-ireland2020-08-24T19:46Znever https://www.findknowdo.com/news/04/11/2014/fatca-iga-talks-between-russia-and-united-states-stall2020-08-24T19:23Znever https://www.findknowdo.com/news/12/13/2013/fatca-igas-signed-guernsey-jersey-and-isle-man-%28-link-new-fatca-page%292020-08-24T19:31Znever https://www.findknowdo.com/news/06/12/2014/fatca-igas-signed-new-zealand-and-south-africa2020-08-24T19:23Znever https://www.findknowdo.com/news/12/02/2013/fatca-igas-signed-cayman-islands-and-costa-rica2020-08-24T19:31Znever https://www.findknowdo.com/news/10/01/2014/fatca-issues-additional-instructions-regarding-reporting-form-10992020-08-24T19:03Znever https://www.findknowdo.com/news/08/19/2013/fatca-portal-opened-registration-ffis-%28-lofchie-comment%292021-06-13T14:41Znever https://www.findknowdo.com/news/03/28/2013/fatca-registration-form-be-issued-near-future-according-irs-official2020-08-24T19:43Znever https://www.findknowdo.com/news/07/01/2014/fatf-issues-report-virtual-currencies-and-potential-aml-risks2022-07-04T22:23Znever https://www.findknowdo.com/news/05/24/2013/father-and-son-convicted-fraud-scheme-led-bank-commonwealths-collapse2020-12-15T05:43Znever https://www.findknowdo.com/news/03/29/2013/fbi-arrests-sigma-capital-portfolio-manager-michael-steinberg-insider-trading-sec-files-civil-complaint2021-01-24T05:23Znever https://www.findknowdo.com/news/03/13/2013/fca-and-pra-publish-guide-new-handbooks2022-11-09T18:36Znever https://www.findknowdo.com/news/07/31/2014/fca-publishes-findings-review-best-execution-and-payment-order-flow2022-11-09T18:36Znever https://www.findknowdo.com/news/08/07/2014/fca-publishes-guidance-financial-promotions-through-social-media2022-11-09T18:36Znever https://www.findknowdo.com/news/11/21/2012/fcm-sanctioned-allowing-customer-funds-become-under-segregated2020-12-15T06:29Znever https://www.findknowdo.com/news/07/02/2013/fcm-and-rfed-reporting-requirements-independence-day2020-12-15T04:54Znever https://www.findknowdo.com/news/05/29/2013/fcm-penalized-failure-supervision-no-underlying-violation-law2020-12-15T05:15Znever https://www.findknowdo.com/news/12/03/2012/fcm-sanctioned-failure-segregation-customer-accounts2020-12-15T05:44Znever https://www.findknowdo.com/news/12/10/2013/fdic-advisory-committee-systemic-resolution-meet-regarding-banking-updates2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/10/2013/fdic-and-frb-notices-regarding-new-mandatory-clearing-requirements-otc-interest-rate-and-cds-contracts2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-and-frb-release-public-sections-resolution-plans-banks-less-100-billion-qualifying-non-bank-assets2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/03/2013/fdic-and-frb-release-public-sections-second-submission-resolution-plans-eleven-institutions2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/09/2013/fdic-and-occ-adopt-rules-regarding-implementation-basel-iii-capital-requirements2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/21/2014/fdic-and-occ-approve-final-credit-risk-retention-rule2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/05/2012/fdic-announces-availability-public-sections-resolution-plans-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2013/fdic-announces-departure-division-risk-management-supervision-director-sandra-l.-thompson2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/09/2014/fdic-announces-improvements-deposit-insurance-education-materials2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/12/2013/fdic-announces-memorandum-understanding-canada-deposit-insurance-corporation2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/03/2014/fdic-announces-new-chief-information-officer-and-deputy-chairman-communications2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-announces-new-general-counsel2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/22/2015/fdic-announces-penalties-against-u.s.-banks-bsa-and-aml-violations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/26/2012/fdic-announces-regulatory-calendar-community-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/17/2013/fdic-announces-senior-personnel-changes2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/06/2015/fdic-appoints-new-regional-director-atlanta2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-approves-final-rule-assessments-dividends-assessment-base-and-large-bank-pricing2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/12/2013/fdic-approves-proposed-rule-definition-insured-deposit-foreign-branches-u.s.-banks-rule-would-clarify-these-deposits-are-not-insured-fdic2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-board-approves-public-comment-interagency-rule-implement-incentive-based-compensation-requirement-under-dodd-frank-reform-act2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/26/2011/fdic-board-approves-interim-final-rule-new-orderly-liquidation-authority-action-clarifies-treatment-certain-creditor-claims2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-board-proposes-rule-improve-public-awareness-deposit-insurance-limits2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/12/2015/fdic-chair-martin-gruenberg-discusses-bankruptcy-and-orderly-liquidation-sifis2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/15/2013/fdic-chairman-gruenberg-makes-remarks-exchequer-club2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/14/2013/fdic-chairman-gruenberg-speaks-volcker-alliance-program2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/05/2013/fdic-chairman-martin-gruenbergs-remarks-annual-washington-conference-institute-international-bankers2021-01-20T13:55Znever https://www.findknowdo.com/news/05/08/2015/fdic-director-resigns2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/19/2012/fdic-director-thomas-m.-hoenig-financial-stability-through-properly-aligned-incentives2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/18/2014/fdic-extends-public-comment-period-single-point-entry-resolution-strategy2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/17/2014/fdic-files-suit-against-16-banks-over-alleged-libor-rigging2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/10/2013/fdic-final-rule-definition-predominantly-engaged-activities-are-financial-nature-or-incidental-thereto-%28fed.-reg.-version%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/18/2012/fdic-final-rule-enforcement-subsidiary-and-affiliate-contracts-fdic-receiver-a-covered-financial-company-%28fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/12/2012/fdic-financial-institution-letter-advisory-effective-credit-risk-management-practices-purchased-loan-participations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/10/2012/fdic-financial-institution-letter-caution-regarding-passing-deposit-insurance-assessment-fees-customers2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/10/2012/fdic-financial-institution-letter-final-rule-assessments-large-bank-pricing2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/25/2012/fdic-guidance-due-diligence-requirements-savings-associations-determining-whether-a-corporate-debt-security-eligible-investment2026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/01/2014/fdic-issues-annual-2013-report2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/25/2015/fdic-issues-draft-long-range-strategic-plan2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/21/2013/fdic-issues-final-guidance-regarding-deposit-advance-products2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/01/2013/fdic-issues-financial-institution-letter-concerning-definition-insured-deposit-proposed-rulemaking2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/05/2015/fdic-issues-financial-institution-letter-concerning-identifying-accepting-and-reporting-brokered-bank-deposits2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/19/2014/fdic-issues-financial-institution-letter-filing-and-documentation-procedures-state-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/24/2014/fdic-issues-financial-institution-letter-final-rule-regarding-assessments2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/21/2013/fdic-issues-financial-institution-letter-regarding-annual-stress-test-reporting-template-and-documentation2026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/18/2014/fdic-issues-guidance-large-bank-resolution-plan-submissions2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/20/2014/fdic-issues-guidance-application-process-deposit-insurance2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/28/2014/fdic-issues-letter-clarifying-supervisory-approach-institutions-establishing-account-relationships-third-party-payment-processors2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/28/2015/fdic-issues-letter-encouraging-supervised-institutions-consider-customer-relationships-case-case-basis-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/05/2012/fdic-issues-list-banks-examined-cra-compliance-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/06/2012/fdic-issues-list-banks-examined-cra-compliance-%28press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/06/2015/fdic-issues-new-faqs-regulatory-capital-rules2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/16/2014/fdic-issues-notice-proposed-rulemaking-regarding-revised-risk-based-deposit-insurance-assessment-system2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/26/2011/fdic-issues-rule-including-ioltas-temporary-unlimited-deposit-insurance-coverage-noninterest-bearing-transaction-accounts2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/25/2012/fdic-letter-investments-corporate-debt-securities-savings-associations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/30/2012/fdic-makes-public-june-enforcement-actions-no-administrative-hearings-scheduled-august-2012-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/26/2012/fdic-names-john-vogel-new-york-regional-director2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/16/2014/fdic-proposes-amendments-annual-stress-test-rule2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/21/2014/fdic-proposes-and-finalizes-rules-regarding-ots-regulations-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/24/2014/fdic-proposes-revisions-assessments-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/02/2015/fdic-proposes-rule-modify-deposit-insurance-assessment-process-small-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/07/2015/fdic-publishes-strategic-plan-2015-20192026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/11/2013/fdic-publishes-basel-iii-and-capital-requirement-rules-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/14/2014/fdic-publishes-final-rule-restrictions-sales-assets-a-covered-financial-company-%28fed.-reg.%292024-04-12T19:15Znever https://www.findknowdo.com/news/01/15/2014/fdic-publishes-fall-2013-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/15/2012/fdic-releases-stress-test-scenarios2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/16/2015/fdic-seeks-comment-proposal-revise-assessment-small-banks-deposit-insurance2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/24/2013/fdic-signs-memorandum-understanding-peoples-bank-china2026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/24/2015/fdic-summarizes-regulatory-landscape-bank-investment-securitizations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/06/2012/fdic-supervision-technology-service-providers-and-outsourcing-technology-services-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/04/2012/fdic-hold-meeting-systemic-risk-advisory-committee-%28including-discussion-international-coordination%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-meet-discuss-regulatory-capital-rules-liquidity-coverage-ratio-and-proposed-revisions-definition-qualifying-master-netting-agreement2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/03/2015/fdic-vice-chair-discusses-principles-effective-supervision-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/17/2015/fdic-vice-chair-hoenig-discusses-regulatory-relief-community-banks-and-volcker-rule-exemptions-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/05/2014/fdic-vice-chair-hoenig-discusses-resolution-through-bankruptcy2026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/04/2015/fdic-vice-chair-urges-lawmakers-adopt-regulatory-relief-criteria-community-banks-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/16/2013/fdic-vice-chairman-delivers-remarks-regarding-changing-structure-u.s.-financial-system-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/09/2013/fdic-vice-chairman-hoenig-remarks-basel-iii-capital-international-association-deposit-insurers-2013-research-conference2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/22/2015/fdic-vp-opposes-easing-inter-affiliate-margin-requirement-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/08/2012/fdic-occ-and-frb-press-releases-banking-agencies-extend-comment-period-regulatory-capital-proposals2026-04-15T21:18Zyearly https://www.findknowdo.com/news/05/27/2015/fed-economists-assess-role-cra-financial-crisis2026-04-15T21:14Zyearly https://www.findknowdo.com/news/11/28/2012/fed-governor-daniel-tarullo-speech-regulation-foreign-banking-organizations-%28very-significant-speech%29-%28-lofchie-comment%292026-04-15T21:14Zyearly https://www.findknowdo.com/news/12/04/2012/fed.-governor-daniel-tarullo-industry-structure-and-systemic-risk-regulation2020-12-15T05:23Znever https://www.findknowdo.com/news/11/21/2013/fed.-governor-jerome-h.-powell-delivers-speech-regarding-otc-market-infrastructure-opportunities-and-challenges-%28-lofchie-comment%292020-12-15T06:44Znever https://www.findknowdo.com/news/01/14/2014/federal-agencies-approve-interim-final-rule-authorizing-retention-interests-and-sponsorship-trups-backed-cdos2021-02-01T19:38Znever https://www.findknowdo.com/news/06/22/2015/federal-agencies-issue-flood-insurance-rule2021-06-21T19:30Znever https://www.findknowdo.com/news/01/31/2014/federal-agencies-temporarily-approve-trups-backed-cdos-small-banks-notwithstanding-volcker-%28fed.-reg.-version%292021-02-01T19:38Znever https://www.findknowdo.com/news/06/04/2014/federal-bank-regulatory-agencies-seek-public-comment-changes-reduce-regulatory-burden2021-06-28T17:23Znever https://www.findknowdo.com/news/08/22/2014/federal-banking-agencies-issue-guidance-frb-proposal-repeal-credit-practices-rules2026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/27/2015/federal-banking-regulators-adjust-resolution-plan-filing-deadline-non-bank-financial-institutions2020-12-15T06:22Znever https://www.findknowdo.com/news/07/02/2015/federal-banking-regulators-issue-joint-release-concerning-dodd-frank-stress-test-requirements2020-12-15T03:01Znever https://www.findknowdo.com/news/07/06/2015/federal-banking-regulators-post-public-segments-resolution-plans2020-12-15T06:53Znever https://www.findknowdo.com/news/02/11/2015/federal-banking-regulators-publish-new-formula-tool-calculating-capital-requirements-securitization-exposures2021-06-21T20:37Znever https://www.findknowdo.com/news/02/20/2015/federal-banking-regulators-request-comment-interagency-effort-reduce-regulatory-burden-%28fed.-reg.%292020-08-06T22:46Znever https://www.findknowdo.com/news/06/01/2015/federal-banking-regulators-request-further-comment-interagency-effort-reduce-regulatory-burden2020-12-15T04:03Znever https://www.findknowdo.com/news/12/19/2013/federal-banking-regulators-seek-comment-joint-supplemental-guidance-income-tax-allocation-agreements2020-12-15T04:56Znever https://www.findknowdo.com/news/06/19/2015/federal-court-enters-consent-order-individual-charged-attempted-manipulation-palladium-and-platinum-futures-contracts2020-12-15T05:23Znever https://www.findknowdo.com/news/02/04/2015/federal-court-enters-consent-order-u.s.-bank2020-12-15T05:57Znever https://www.findknowdo.com/news/10/01/2014/federal-court-fines-individual-attempting-manipulate-wheat-futures-market2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2012/federal-court-california-orders-las-vegas-resident-gordon-driver-and-his-companies-pay-over-41-million-restitution-and-penalties-commodity-pool-ponzi-scheme-%28cftc-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/27/2012/federal-court-florida-orders-over-2.5-million-sanctions-against-abraham-gutterman-and-his-companies-commodity-options-fraud-and-misappropriation-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/01/2012/federal-court-georgia-orders-over-10-million-sanctions-against-defendant-eldon-a.-gresham-forex-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/14/2012/federal-court-illinois-orders-defendants-richard-c.-regan-and-pro-trading-course-llc-pay-more-600000-restitution-and-civil-monetary-penalties-settle-cftc-anti-fraud-action-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2012/federal-court-missouri-orders-randall-l.-stuckey-and-his-business-entities-pay-a-250000-penalty-settle-cftc-forex-futures-fraud-action2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/23/2012/federal-court-new-york-orders-chicago-resident-and-former-floor-broker-kent-r.e.-whitney-pay-600000-margin-call-avoidance-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/16/2012/federal-court-south-carolina-orders-ronald-e.-satterfield-and-nicholas-and-patricia-bos-pay-over-7.5-million-fraud-connection-a-forex-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/22/2012/federal-court-texas-orders-linda-harris-chance-harris-cdh-forex-investments-llc-and-cdh-global-holdings-llc-pay-over-5.4-million-forex-fraud-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/federal-court-texas-orders-robert-mihailovich-and-growth-capital-management-llc-pay-over-9.3-million-cftc-anti-fraud-action-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/29/2014/federal-court-order-charges-floor-trader-and-broker-violating-speculative-position-limits-cattle-futures2020-08-24T19:23Znever https://www.findknowdo.com/news/04/28/2014/federal-court-orders-accounting-firm-pay-penalty-improper-audits-fcm2020-12-15T04:26Znever https://www.findknowdo.com/news/09/06/2012/federal-court-orders-blue-sky-capital-management-corp.-pay-140000-making-false-statements-national-futures-association2024-01-29T14:26Znever https://www.findknowdo.com/news/12/24/2014/federal-court-orders-mf-global-holdings-ltd.-pay-restitution-and-penalty-unlawful-use-customer-funds-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/11/18/2013/federal-court-orders-mf-global-pay-over-1-billion-restitution-customers-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/12/18/2014/federal-court-penalizes-bank-illegal-wash-sales-fictitious-sales-and-noncompetitive-transactions2020-12-03T20:51Znever https://www.findknowdo.com/news/06/16/2015/federal-court-penalizes-individual-fraud-and-unauthorized-swaps-trading2020-12-15T06:05Znever https://www.findknowdo.com/news/10/27/2014/federal-court-permanently-bans-individual-failure-register-cta2020-12-15T17:24Znever https://www.findknowdo.com/news/07/02/2013/federal-court-vacates-secs-extraction-rule-american-petroleum-institute-v.-sec-and-oxfam-america2020-12-15T06:39Znever https://www.findknowdo.com/news/12/19/2013/federal-financial-regulatory-agencies-extend-comment-period-proposed-policy-statement-assessing-diversity-policies-and-practices-regulated-entities2020-12-15T06:41Znever https://www.findknowdo.com/news/04/30/2015/federal-financial-regulatory-agencies-issue-final-rule-minimum-requirements-amcs2021-06-18T20:44Znever https://www.findknowdo.com/news/06/17/2015/federal-jury-convicts-individual-insider-trading-case-%28-lofchie-comment%292020-12-15T02:23Znever https://www.findknowdo.com/news/07/25/2013/federal-prosecutors-file-criminal-charges-against-sac-advisory-entities-and-sec-charges-sac-trader2020-12-15T02:46Znever https://www.findknowdo.com/news/02/01/2011/federal-register-commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations2021-01-24T05:17Znever https://www.findknowdo.com/news/01/14/2011/federal-register-position-limits-derivatives2020-12-15T05:41Znever https://www.findknowdo.com/news/02/01/2011/federal-register-reporting-investment-advisers-private-funds-and-certain-commodity-pool-operators-and-commodity-trading-advisors-form-pf2021-01-24T05:18Znever https://www.findknowdo.com/news/11/12/2014/federal-regulators-fine-multiple-banks-attempted-manipulation-forex-benchmark-rates2020-12-15T03:15Znever https://www.findknowdo.com/news/09/24/2013/federal-regulators-issue-joint-guidance-reporting-financial-abuse-older-adults-%28-lofchie-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/05/20/2015/federal-regulatory-agencies-fine-banks-unsafe-and-unsound-fx-practices2020-12-15T05:11Znever https://www.findknowdo.com/news/10/24/2014/federal-regulatory-agencies-request-comment-proposed-flood-insurance-rule2021-06-18T00:00Znever https://www.findknowdo.com/news/01/26/2011/federal-reserve-announces-online-publication-rules-about-credit-decisions-and-notices2021-06-11T20:24Znever https://www.findknowdo.com/news/08/18/2015/federal-reserve-bank-dallas-appoints-president-and-ceo2020-08-06T22:46Znever https://www.findknowdo.com/news/06/25/2015/federal-reserve-bank-new-york-releases-staff-report-supervising-large-financial-institutions2020-12-15T04:54Znever https://www.findknowdo.com/news/06/25/2015/federal-reserve-bank-new-york-releases-update-tri-party-repo-infrastructure-reform2020-12-15T05:42Znever https://www.findknowdo.com/news/08/17/2012/federal-reserve-bank-new-york-report-what-accomplished-banning-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/10/22/2014/federal-reserve-bank-new-york-vice-president-christine-cumming-retire2020-12-15T06:33Znever https://www.findknowdo.com/news/04/18/2014/federal-reserve-bans-former-bank-cfo-industry-misuse-tarp-funds2022-08-30T19:05Znever https://www.findknowdo.com/news/07/31/2012/federal-reserve-board-announces-approval-notice-bbt-corporation2020-08-06T22:46Znever https://www.findknowdo.com/news/01/26/2011/federal-reserve-board-enforcement-actions2020-08-24T19:59Znever https://www.findknowdo.com/news/07/07/2014/federal-reserve-board-issues-independent-foreclosure-review-releases-action-plans-goldman-sachs-and-morgan-stanley2020-12-15T02:53Znever https://www.findknowdo.com/news/11/09/2012/federal-reserve-board-launches-2013-capital-planning-and-stress-testing-program2020-12-15T05:43Znever https://www.findknowdo.com/news/02/26/2013/federal-reserve-board-notice-proposed-rulemaking-financial-market-utilities-%28regulation-hh%292024-01-31T02:37Znever https://www.findknowdo.com/news/03/04/2013/federal-reserve-board-notice-proposed-rulemaking-financial-market-utilities-%28regulation-hh%29-%28fed.-reg.-version%292024-01-31T03:13Znever https://www.findknowdo.com/news/11/01/2013/federal-reserve-board-releases-supervisory-scenarios-and-instructions-2014-capital-planning-and-stress-testing2021-06-12T21:29Znever https://www.findknowdo.com/news/05/20/2013/federal-reserve-dodd-frank-act-mid-cycle-stress-tests-20132020-12-15T03:37Znever https://www.findknowdo.com/news/03/07/2013/federal-reserve-governor-powell-speaks-aml-and-bank-secrecy-act2021-03-26T19:13Znever https://www.findknowdo.com/news/02/09/2011/federal-reserve-issues-proposals-related-designation-systemically-important-nonbank-financial-companies2021-06-11T20:03Znever https://www.findknowdo.com/news/05/16/2013/federal-reserve-oig-report-failure-bank-whitman2020-12-15T05:07Znever https://www.findknowdo.com/news/08/19/2013/federal-reserve-paper-capital-planning-large-bank-holding-companies-supervisory-expectations-and-range-current-practice2020-12-15T04:45Znever https://www.findknowdo.com/news/11/26/2012/federal-reserve-releases-market-scenarios-large-financial-institutions-stress-tests-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/07/2013/federal-reserve-stress-test-methodology-and-results2021-06-14T14:45Znever https://www.findknowdo.com/news/10/25/2012/federal-reserve-system-final-rule-reserve-requirements-depository-institutions-%28regulation-d%292024-02-12T02:04Znever https://www.findknowdo.com/news/12/13/2012/federal-reserve-et-al.-announce-civil-monetary-penalties-aml-and-bank-secrecy-act-violations2021-06-11T20:26Znever https://www.findknowdo.com/news/05/14/2013/federal-trade-commission-enforcement-letter-cfpb-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/04/2012/fee-rate-advisory-7-fiscal-year-20132020-08-24T19:53Znever https://www.findknowdo.com/news/11/11/2014/ferc-accepts-proposal-integrate-wapa-basin-electric-and-heartland-new-spp-members2020-08-24T19:03Znever https://www.findknowdo.com/news/09/13/2013/ferc-and-cftc-jurisdictional-battle2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2014/ferc-and-cftc-sign-mous-regarding-jurisdiction-and-information-sharing2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2014/ferc-announces-workshop-regarding-available-transfer-capability-standards-wholesale-electric-transmission-services2020-08-24T19:00Znever https://www.findknowdo.com/news/10/13/2014/ferc-announces-workshop-regarding-price-formation-energy-and-ancillary-services-markets2020-08-24T19:03Znever https://www.findknowdo.com/news/09/08/2014/ferc-announces-workshop-regarding-price-formation-issues-and-ancillary-services2020-08-24T19:03Znever https://www.findknowdo.com/news/03/04/2015/ferc-approves-algonquin-gas-transmission-llcs-project2020-08-24T19:00Znever https://www.findknowdo.com/news/08/01/2014/ferc-approves-freeport-lng-export-project-under-natural-gas-act2020-08-24T19:23Znever https://www.findknowdo.com/news/08/07/2014/ferc-approves-settlement-2011-southwest-blackout-case2020-08-24T19:23Znever https://www.findknowdo.com/news/01/22/2015/ferc-conditionally-accepts-order-no.-1000-interregional-filings-sertp-and-neighboring-regions2020-08-24T19:00Znever https://www.findknowdo.com/news/11/20/2014/ferc-issues-annual-enforcement-report2020-08-24T19:03Znever https://www.findknowdo.com/news/01/23/2015/ferc-issues-final-environmental-impact-statement-algonquin-incremental-market-project2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2015/ferc-issues-fy-2016-budget-request2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2015/ferc-issues-order-and-notice-proposed-penalty-maxim-power-corporation-market-manipulation-%28-irvin-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/07/18/2014/ferc-issues-proposed-rulemaking-approve-physical-security-reliability-standard-%28pre-fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/15/2013/ferc-loses-hunter-case-%28-pantano-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/05/14/2015/ferc-proposes-new-reliability-standard-geomagnetic-disturbances2021-06-21T19:36Znever https://www.findknowdo.com/news/01/22/2015/ferc-proposes-policy-statement-hold-harmless-commitments2020-08-24T19:00Znever https://www.findknowdo.com/news/05/14/2015/ferc-proposes-revisions-regulations-commencing-assessment-annual-charges2021-06-21T20:01Znever https://www.findknowdo.com/news/01/22/2015/ferc-releases-potomac-economics-presentation-regarding-interface-pricing-flaws2020-08-24T19:00Znever https://www.findknowdo.com/news/01/16/2015/ferc-requests-comment-technical-workshops2020-08-24T19:00Znever https://www.findknowdo.com/news/06/30/2015/ferc-requests-comments-five-year-review-oil-pipeline-index2021-06-21T18:24Znever https://www.findknowdo.com/news/11/20/2014/ferc-requests-reports-fuel-assurance2020-08-24T19:03Znever https://www.findknowdo.com/news/01/07/2015/ferc-hold-technical-conferences-compliance-implications-epa-clean-power-plan-proposed-rule2020-08-24T19:00Znever https://www.findknowdo.com/news/03/17/2015/ffiec-discusses-cybersecurity-priorities-20152021-03-20T16:46Znever https://www.findknowdo.com/news/03/31/2015/ffiec-issues-statements-destructive-malware-and-compromised-credentials2020-12-15T06:57Znever https://www.findknowdo.com/news/11/04/2014/ffiec-releases-cybersecurity-assessment-observations2021-03-20T16:47Znever https://www.findknowdo.com/news/07/01/2015/ffiec-releases-new-cybersecurity-assessment-tool2021-03-20T16:47Znever https://www.findknowdo.com/news/12/02/2014/ffiec-releases-revised-bank-secrecy-act/aml-examination-manual2021-03-26T19:13Znever https://www.findknowdo.com/news/09/03/2014/fhfa-proposes-revisions-federal-home-loan-bank-membership-eligibility-requirements2020-12-15T04:18Znever https://www.findknowdo.com/news/01/15/2015/fia-and-fia-europe-issue-first-series-special-reports-regarding-summaries-esma-mifid-ii-regulations2021-06-18T18:36Znever https://www.findknowdo.com/news/06/26/2014/fia-and-fia-europe-issue-special-report-third-country-firms-under-mifid-ii2021-06-17T14:55Znever https://www.findknowdo.com/news/07/03/2014/fia-and-fia-europe-issue-special-report-transparency2021-06-11T18:28Znever https://www.findknowdo.com/news/01/22/2015/fia-and-fia-europe-issue-their-second-report-series-covering-esma-mifid-ii-regulations2021-06-21T18:45Znever https://www.findknowdo.com/news/02/04/2015/fia-and-fia-europe-issue-third-report-series-covering-esma-mifid-ii-regulations2021-06-18T18:34Znever https://www.findknowdo.com/news/02/18/2015/fia-and-fia-europe-publish-fourth-report-esma-proposals-concerning-high-frequency-trading2021-06-18T18:41Znever https://www.findknowdo.com/news/03/17/2015/fia-and-fia-europe-publish-report-ccps-trading-venues-and-benchmarks2021-06-18T18:31Znever https://www.findknowdo.com/news/03/12/2015/fia-and-fia-europe-publish-report-commodity-derivatives-under-mifid-ii2021-06-18T18:39Znever https://www.findknowdo.com/news/04/07/2015/fia-and-fia-europe-publish-report-transaction-reporting-under-mifid-ii2020-12-15T03:15Znever https://www.findknowdo.com/news/08/06/2014/fia-and-fia-ptg-submit-comment-letter-cftc-regarding-market-surveillance-program-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/29/2012/fia-and-isda-publish-cleared-derivatives-addendum2020-12-15T03:48Znever https://www.findknowdo.com/news/02/05/2015/fia-and-sifma-amg-hold-a-derivatives-forum2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/17/2015/fia-announces-cybersecurity-threats-webinar2021-06-18T17:50Znever https://www.findknowdo.com/news/12/10/2012/fia-announces-insurance-study2020-12-15T04:31Znever https://www.findknowdo.com/news/01/10/2012/fia-announces-leadership-succession-%28press-release%292020-12-15T04:45Znever https://www.findknowdo.com/news/11/03/2014/fia-announces-new-general-counsel-%28-pantano-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/05/17/2013/fia-appoints-director-international-relations-and-strategy2020-12-15T05:19Znever https://www.findknowdo.com/news/02/01/2013/fia-briefing-u.s.-legislative-landscape-20132020-08-24T19:46Znever https://www.findknowdo.com/news/05/11/2011/fia-comments-cftcs-proposed-registration-intermediaries2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2011/fia-comments-cftcs-proposed-risk-management-requirements-and-governance-requirements-clearinghouses2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/12/2014/fia-elects-directors-and-officers2020-08-06T22:46Znever https://www.findknowdo.com/news/07/18/2014/fia-elects-new-chairman-and-two-new-board-members2020-08-06T22:46Znever https://www.findknowdo.com/news/06/12/2014/fia-europe-clarifies-scope-emir-article-39-following-lch.clearnet-emir-authorization-%28-lofchie-comment%292020-12-15T02:29Znever https://www.findknowdo.com/news/07/08/2014/fia-europe-obtains-legal-options-respect-lch.clearnet-limited2020-08-24T19:23Znever https://www.findknowdo.com/news/07/22/2014/fia-europe-publishes-report-regarding-valuation-and-collateral-reporting-under-emir-%28-damianova-comment%292021-06-28T15:24Znever https://www.findknowdo.com/news/08/01/2014/fia-europe-responds-esma-consultation-and-discussion-papers-mifi-ii-and-mifir2021-06-11T20:28Znever https://www.findknowdo.com/news/11/08/2013/fia-global-holds-first-board-meeting-names-jackie-mesa-executive-director2020-08-06T22:46Znever https://www.findknowdo.com/news/04/29/2015/fia-global-issues-recommendations-central-clearing-risks2021-06-18T18:24Znever https://www.findknowdo.com/news/09/23/2014/fia-interviews-cftc-chair-massad-regarding-cftcs-agenda2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/25/2014/fia-issues-fourth-version-guide-customer-fund-protections2020-12-15T03:40Znever https://www.findknowdo.com/news/10/28/2014/fia-issues-notice-customers-regarding-compliance-new-efrp-rules2020-08-24T19:03Znever https://www.findknowdo.com/news/02/05/2015/fia-issues-recommendations-efficient-swap-clearing2020-12-15T04:18Znever https://www.findknowdo.com/news/06/10/2014/fia-issues-special-report-open-access-ccps-trading-venues-and-benchmarks2021-06-28T16:53Znever https://www.findknowdo.com/news/06/24/2014/fia-issues-special-report-defining-high-frequency-trading2021-06-28T16:54Znever https://www.findknowdo.com/news/03/31/2014/fia-issues-statement-regarding-high-frequency-trading-book-michael-lewis2020-12-15T05:10Znever https://www.findknowdo.com/news/11/10/2011/fia-issues-statement-regarding-mf-global-%28press-release%292020-08-06T23:07Znever https://www.findknowdo.com/news/05/28/2014/fia-issues-updated-guide-customer-fund-protections2020-12-15T05:44Znever https://www.findknowdo.com/news/05/29/2014/fia-president-and-ceo-lukken-discusses-global-trends-shanghai-derivatives-market-forum2020-12-15T06:06Znever https://www.findknowdo.com/news/05/22/2013/fia-president-and-ceo-lukken-testifies-house-agriculture-committee-hearing2020-12-15T06:36Znever https://www.findknowdo.com/news/04/07/2014/fia-president-lukken-discusses-trends-affecting-derivatives-industry-regulatory-pragmatism-%28-lofchie-comment%292020-12-15T06:50Znever https://www.findknowdo.com/news/01/29/2015/fia-principal-traders-group-releases-position-paper-u.s.-equity-market-structure-%28-lofchie-comment%292023-01-01T20:25Znever https://www.findknowdo.com/news/08/06/2012/fia-ptg-and-fia-epta-issue-statement-response-august-1-market-disruptions-and-knight-capital2020-08-06T23:07Znever https://www.findknowdo.com/news/09/30/2014/fia-ptg-recommends-structural-improvements-promote-accessibility-and-transparency-equity-markets2020-12-03T11:45Znever https://www.findknowdo.com/news/12/02/2014/fia-publishes-eighth-issue-sef-tracker2020-12-15T03:01Znever https://www.findknowdo.com/news/03/30/2011/fia-recommends-changes-cftc-position-limit-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/06/2013/fia-releases-drop-copy-recommendations2020-12-15T03:33Znever https://www.findknowdo.com/news/08/27/2013/fia-releases-futures-volatility-study2020-12-15T03:50Znever https://www.findknowdo.com/news/12/12/2013/fia-responds-cftc-regarding-concept-release-risk-controls-and-system-safeguards-automated-trading-%28-discussion-gary-dewaal-president-gary-dewaal-and-associates%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2013/fia-seeks-no-action-relief-cftc-part-46-reporting-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2013/fia-submits-comment-letter-cftc-regarding-customer-protection-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/10/2014/fia-submits-comments-cftc-proposed-position-limits-derivatives-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2013/fia-submits-public-comments-iosco-customer-protection-consultation-consultation-report-particularly-principle-5-%28-youtube-link%292020-12-15T05:09Znever https://www.findknowdo.com/news/07/29/2015/fia-supports-cftcs-upcoming-release-rule-automated-trading-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/27/2015/fia-fia-europe-and-fia-asia-formalize-merger-creating-fia-global2021-06-21T18:23Znever https://www.findknowdo.com/news/08/23/2013/fia-foa-and-fia-asia-complete-formation-fia-global2020-08-06T23:07Znever https://www.findknowdo.com/news/12/03/2012/fia-iib-and-sifma-request-cftc-delay-effective-date-numerous-swaps-rules-%28-lofchie-comment%292021-01-20T13:55Znever https://www.findknowdo.com/news/04/07/2011/fia/isda-comment-letter2022-08-30T19:05Znever https://www.findknowdo.com/news/02/26/2015/fifth-circuit-court-concludes-abandonment-capital-assets-does-not-generate-capital-loss2020-08-24T19:00Znever https://www.findknowdo.com/news/01/31/2014/filing-requirements-adf-market-makers-finra-regulatory-notice-14-042020-12-15T04:49Znever https://www.findknowdo.com/news/01/14/2011/final-elements-reforms-raise-quality-regulatory-capital-issued-basel-committee2020-08-24T19:59Znever https://www.findknowdo.com/news/01/18/2013/final-fatca-regulations-issued-treasury2020-08-24T19:51Znever https://www.findknowdo.com/news/07/10/2012/final-judgment-entered-against-connecticut-man-who-misappropriated-over-1-million-vulnerable-investors-%28sec-litigation-release%292020-08-06T23:07Znever https://www.findknowdo.com/news/10/10/2014/final-liquidity-coverage-ratio-regulations-%28fed.-reg.%292020-12-15T03:16Znever https://www.findknowdo.com/news/03/08/2012/final-notice-andrew-osborne2020-08-24T20:06Znever https://www.findknowdo.com/news/03/26/2012/final-notice-coutts-company2026-06-19T17:42Zmonthly https://www.findknowdo.com/news/04/02/2012/final-report-draft-technical-standards-regulation-%28eu%29-no-236/2012-european-parliament-and-council-short-selling-and-certain-aspects-credit-default-swaps2021-06-11T18:51Znever https://www.findknowdo.com/news/03/30/2012/final-rule-adoption-updated-edgar-filer-manual-sec-release-33-9303-34-66654-39-2483-ic-300082020-12-03T05:07Znever https://www.findknowdo.com/news/04/05/2012/final-rule-exemptions-security-based-swaps-issues-certain-clearing-agencies-sec-release-33-9308-34-66703-39-24842020-12-14T08:10Znever https://www.findknowdo.com/news/06/27/2012/final-rule-listing-standards-compensation-committees-sec-release-33-9330-34-672202020-12-03T11:19Znever https://www.findknowdo.com/news/03/08/2012/final-rule-technical-amendment-rules-organization-conduct-and-ethics-and-information-and-requests-sec-release-34-665022020-08-24T19:59Znever https://www.findknowdo.com/news/07/06/2011/final-rules-exempting-family-offices-definition-investment-adviser2021-01-24T05:24Znever https://www.findknowdo.com/news/07/06/2011/final-rules-implementing-registration-exemptions-under-investment-advisers-act2022-08-30T19:05Znever https://www.findknowdo.com/news/07/06/2011/final-rules-implementing-registration-private-funds2021-02-01T19:53Znever https://www.findknowdo.com/news/01/19/2011/finalised-fsa-guidance-ceos-asset-liability-and-management2020-08-24T19:59Znever https://www.findknowdo.com/news/05/06/2011/finalised-guidance-%28fg11/08%29-individual-liquidity-systems-assessment-%28ilsa%292020-09-28T15:10Znever https://www.findknowdo.com/news/03/26/2012/finalised-guidance-%28fg12/9%29-retail-product-development-and-governance-structured-product-review2022-04-30T01:46Znever https://www.findknowdo.com/news/04/24/2015/finance-professor-calls-cftc-allegations-nav-sarao-caused-flash-crash-outrageous2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/finance-professor-discusses-implications-profit-status-exchanges2020-12-15T03:52Znever https://www.findknowdo.com/news/05/26/2015/financial-industry-executives-respond-new-york-times-editorial-involving-cybersecurity-legislation2021-03-20T16:47Znever https://www.findknowdo.com/news/12/13/2012/financial-industry-testimony-implementation-dodd-frank2020-12-15T04:27Znever https://www.findknowdo.com/news/09/26/2013/financial-institution-letter-proposed-regulatory-capital-reporting-changes2020-12-15T04:48Znever https://www.findknowdo.com/news/10/29/2013/financial-institution-letter-uniform-agreement-classification-and-appraisal-securities-held-financial-institutions2020-08-06T23:07Znever https://www.findknowdo.com/news/01/12/2011/financial-lobbyists-seek-softer-rules-policing-fraud2020-12-15T05:17Znever https://www.findknowdo.com/news/08/02/2012/financial-market-utilities-final-rule-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/31/2012/financial-market-utilities-final-rule-%28frb-pre-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/24/2013/financial-regulators-propose-joint-standards-assessing-diversity-policies-and-practices-regulated-entities2020-08-24T19:31Znever https://www.findknowdo.com/news/03/02/2011/financial-sanctions-notice-respect-financial-measures-relating-libya2020-08-06T23:07Znever https://www.findknowdo.com/news/05/17/2011/financial-services-%28regulation-derivatives%29-bill2020-12-15T06:01Znever https://www.findknowdo.com/news/01/10/2013/financial-services-authority-publishes-paper-cost-high-frequency-trading-institutional-investors2020-12-15T02:25Znever https://www.findknowdo.com/news/12/12/2012/financial-services-committee-chairman-bachus-economic-impact-derivatives-regulations-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/07/10/2013/financial-services-committee-hearing-examining-constitutional-deficiencies-and-legal-uncertainties-dodd-frank-act2020-12-15T06:33Znever https://www.findknowdo.com/news/04/17/2013/financial-services-committee-hearing-who-too-big-fail2020-12-15T04:42Znever https://www.findknowdo.com/news/05/15/2013/financial-services-committee-hearings-review-too-big-fail2020-12-15T04:28Znever https://www.findknowdo.com/news/11/28/2012/financial-services-committee-joint-hearing-examining-impact-proposed-rules-implement-basel-iii-capital-standards2020-12-15T05:17Znever https://www.findknowdo.com/news/02/05/2014/financial-services-full-committee-hearing-impact-volcker-rule-job-creators-part-ii2020-12-15T04:57Znever https://www.findknowdo.com/news/02/04/2014/financial-services-full-committee-hearing-impact-volcker-rule-job-creators-part-ii2021-02-01T19:38Znever https://www.findknowdo.com/news/05/23/2013/financial-services-oversight-and-investigations-subcommittee-hearing-examines-too-big-jail-%28-lofchie-comment%292020-12-15T05:50Znever https://www.findknowdo.com/news/04/16/2013/financial-services-subcommittee-hearing-examines-regulatory-burden-community-banks2020-12-15T06:52Znever https://www.findknowdo.com/news/11/15/2012/financial-services-subcommittee-report-mf-bankruptcy-%28-lofchie-comment%292020-12-15T06:47Znever https://www.findknowdo.com/news/04/13/2011/financial-stability-board-background-note-shadow-banking2020-12-15T02:38Znever https://www.findknowdo.com/news/04/13/2011/financial-stability-board-note-financial-stability-issues-exchange-traded-funds2021-01-24T02:57Znever https://www.findknowdo.com/news/01/18/2013/financial-stability-oversight-council-extends-comment-period-proposed-recommendations-money-market-fund-reform-%28fed.-reg.-version%292021-01-24T01:53Znever https://www.findknowdo.com/news/01/17/2013/financial-stability-oversight-council-extends-comment-period-proposed-recommendations-money-market-fund-reform-%28-lofchie-comment%292021-06-12T21:35Znever https://www.findknowdo.com/news/05/14/2015/fincen-announces-law-enforcement-awards2026-04-15T21:02Zyearly https://www.findknowdo.com/news/05/21/2015/fincen-announces-new-deputy-director2026-04-15T21:02Zyearly https://www.findknowdo.com/news/06/16/2014/fincen-director-speaks-anti-money-laundering-and-casinos2026-06-19T17:22Zmonthly https://www.findknowdo.com/news/12/10/2014/fincen-extends-fbar-deadline-further-certain-financial-professionals2026-04-15T21:02Zyearly https://www.findknowdo.com/news/02/20/2014/fincen-finalizes-aml-regulations-housing-government-sponsored-enterprises2026-04-15T21:02Zyearly https://www.findknowdo.com/news/12/19/2014/fincen-fines-and-seeks-bar-former-moneygram-executive-financial-industry2026-04-15T21:02Zyearly https://www.findknowdo.com/news/02/27/2015/fincen-fines-bank-failing-report-suspicious-activity-tied-judicial-corruption-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/05/06/2015/fincen-fines-firm-first-civil-enforcement-action-against-a-virtual-currency-exchanger2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/09/2015/fincen-fines-trump-taj-mahal-10-million-aml-deficiencies2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/02/11/2015/fincen-fines-trump-taj-mahal-aml-violations2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/25/2014/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies2026-04-15T21:02Zyearly https://www.findknowdo.com/news/07/20/2015/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/04/03/2014/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-nfa-notice-i-14-092026-04-15T21:02Zyearly https://www.findknowdo.com/news/08/01/2014/fincen-issues-proposed-rulemaking-aimed-identifying-beneficial-owners-legal-entity-customers2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/11/10/2014/fincen-issues-statement-providing-banking-services-money-services-businesses2026-04-15T21:02Zyearly https://www.findknowdo.com/news/10/27/2014/fincen-issues-two-administrative-rulings-regarding-virtual-currency2026-04-15T21:02Zyearly https://www.findknowdo.com/news/01/31/2014/fincen-publishes-two-rulings-virtual-currency-miners-and-investors-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/07/24/2015/fincen-severs-access-fbme-bank-u.s.-financial-system2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/07/2014/finland-and-chile-latest-sign-fatca-igas-luxembourg-reports-iga-agreement-substance2020-08-24T19:23Znever https://www.findknowdo.com/news/03/06/2015/finland-and-chile-sign-intergovernmental-agreements-united-states2020-08-24T19:00Znever https://www.findknowdo.com/news/10/11/2012/finra-proposal-debt-research-reports-%28important-proposal%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-registration-renewals-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-extending-implementation-finra-rule-4240-%28margin-requirements-credit-default-swaps%29-%28fed.-reg.-version%29.2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/27/2012/finra-proposed-amendment-re-customer-and-industry-codes-arbitration-procedure-relating-subpoenas-and-arbitrator-authority-direct-appearances-associated-person-witnesses-and-production-documents2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/23/2012/finra-proposed-rule-amend-finra-dispute-resolutions-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-extend-effective-date-trading-pause-pilot-%28sro-rule-filing%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/18/2012/finra-proposed-rule-change-extend-implementation-finra-rule-4240-%28margin-requirements-credit-default-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-extend-pilot-period-rule-11892-governing-clearly-erroneous-transactions-%28sro-rule-filing%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-modify-fees-and-transaction-credits-applicable-finra/nyse-trade-reporting-%28sro-rule-filing%29.2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-not-report-transfers-trace-eligible-securities-create/redeem-instruments-such-etf-%28sro-filing-w/sec%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-2013-annual-audit-focus-and-ssoi-report-filing-deadlines2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2013/finra-adopts-amendments-relating-regulation-nms-plan-address-extraordinary-market-volatility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-adopts-rule-change-rule-7640a-%28data-products-offered-nasdaq%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/07/2012/finra-allows-one-day-extension-making-reserve-deposits-around-holidays2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2011/finra-amendments-fees-testing-and-continuing-education2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2012/finra-amends-electronic-form-nma-and-adopts-new-electronic-form-cma-filing-requirements-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/27/2011/finra-amends-guidance-soliciting-business-internationally2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2013/finra-amends-rule-requiring-reporting-bad-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/26/2012/finra-amends-taf-rate-transactions-covered-security-futures-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/18/2014/finra-and-bats-fine-citigroup-global-markets-regulation-m-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2014/finra-and-bats-sign-regulatory-service-agreement-finra-conduct-surveillance-nearly-100-percent-u.s.-equities-trading-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-and-isg-%28rn-13-16%29-extend-effective-date-certain-electronic-blue-sheet-data-elements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-and-isg-delay-effective-date-enhanced-electronic-blue-sheet-submissions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2012/finra-and-isg-delay-effective-date-enhanced-electronic-blue-sheet-submissions-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-and-isg-extend-effective-date-certain-electronic-blue-sheet-data-elements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/04/2013/finra-and-isg-extend-effective-date-certain-electronic-blue-sheet-data-elements-%28regulatory-notice-13-38%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/28/2012/finra-and-japan-dealers-securities-association-sign-cooperation-agreement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/17/2014/finra-and-msrb-propose-requiring-confirmation-disclosure-pricing-information-fixed-income-securities-transactions-%28finra-reg.-notice-14-52-msrb-reg.-notice-2014-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2012/finra-and-nyse-arca-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2014/finra-announces-arbitration-task-force2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/30/2014/finra-announces-ats-data-website2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/20/2014/finra-announces-changes-expand-categories-civil-judicial-disclosures-permanently-included-brokercheck-finra-regulatory-notice-14-082026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2015/finra-announces-effective-date-sec-approved-rules-regarding-payments-unregistered-persons-%28finra-reg.-notice-15-07%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2014/finra-announces-elimination-historical-research-reports-and-orf-fees-otc-bulletin-board-%28finra-reg.-notice-14-36%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2013/finra-announces-increased-transparency-mortgage-backed-securities-market-through-trace2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/03/2014/finra-announces-new-effective-date-new-rate-fees-paid-under-exchange-act-section-312026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2012/finra-announces-new-electronic-process-submission-notice-and-information-relating-distributions-subject-sec-regulation2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/20/2015/finra-announces-new-fee-rate-certain-securities-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/11/2015/finra-announces-new-head-advanced-data-analytics-and-senior-vice-president2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2012/finra-announces-new-head-corporate-communications2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2014/finra-announces-new-requirements-alternative-trading-systems-finra-regulatory-notice-14-072026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-announces-new-template-compliance-exchange-act-amendments-%28finra-reg.-notice-14-39%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/01/2014/finra-announces-nomination-process-fill-upcoming-vacancies-national-adjudicatory-council2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/06/2012/finra-announces-results-sfab-nac-and-district-committee-elections2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/25/2014/finra-announces-individual-snapshot-reports-are-now-available-online2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/18/2014/finra-announces-two-new-public-board-members2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2012/finra-announces-upcoming-vacancy-national-adjudicatory-council-%28election-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/23/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-14-25%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28regulatory-notice-14-12%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/07/2014/finra-announces-updates-interpretations-financial-and-operational-rules-finra-regulatory-notice-14-062026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/06/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-14-38%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/17/2013/finra-appoints-two-new-public-governors-and-creates-a-new-committee-investor-issues2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-approves-amendment-supervision-rule-requiring-firms-conduct-background-checks-registration-applicants2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/13/2014/finra-approves-rule-prohibits-conditioning-settlements-customer-disputes-customers-agreements-not-oppose-expungement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/03/2011/finra-bars-broker-insider-trading2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/02/2014/finra-bars-broker-insider-trading-japanese-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-begins-publicly-disseminating-rule-144a-transaction-data2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2014/finra-board-approves-series-equity-trading-and-fixed-income-rulemaking-items-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-board-finds-charles-schwab-co.-violated-rules-adding-waiver-provisions-customer-agreements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2013/finra-board-governors-authorizes-recruitment-compensation-proposal-be-filed-sec-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/19/2014/finra-ceo-and-chairman-ketchum-speaks-restoring-investor-trust-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/01/2015/finra-ceo-testifies-house-financial-services-committee-%28-lofchie-comment%292020-12-15T03:49Znever https://www.findknowdo.com/news/09/26/2014/finra-chair-ketchum-discusses-importance-research-and-analysis-capital-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2013/finra-chairman-and-ceo-ketchum-consumer-protection-%28-lofchie-comment-and-suggestion%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/21/2013/finra-chairman-and-ceo-ketchum-crisis-confidence-markets-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-chairman-and-ceo-ketchum-speech-primarily-suitability-and-structured-products-%28-barrentine-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/27/2012/finra-chairman-and-ceo-speech-sifma-complex-products-forum-%28-lofchie-comment-important-speech%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2014/finra-chairman-ketchum-speaks-improving-technology-equities-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/05/2012/finra-changes-effective-date-minimum-quotation-size-pilot-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/16/2013/finra-charges-and-fines-clearing-firm-aml-sho-and-capital-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/20/2014/finra-chief-risk-officer-and-head-strategy-discusses-ethics-risk-and-regulatory-issues-and-initiatives-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2010/finra-chief-vows-vigilance-high-frequency-trading2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/05/2015/finra-consolidated-rule-payments-unregistered-persons-published-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/02/2013/finra-corporate-secretary-speaks-about-board-governors-elections2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/02/2012/finra-decides-not-change-name-%28or-sell%29-otcbb2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-delays-amendments-certain-trace-rules-relating-agency-pass-through-mortgage-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2015/finra-delays-implementation-date-approved-trade-reporting-amendments-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-delays-implementation-date-trade-reporting-amendments-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/03/2014/finra-dispute-resolution-president-retire2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2014/finra-election-notice-upcoming-board-governors-election2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2013/finra-election-notice-upcoming-finra-board-governors-election2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/05/2012/finra-election-notices-announce-filling-small-firm-advisory-board-and-district-committee-vacancies2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2014/finra-executive-vice-president-and-chief-information-officer-discusses-technology-developments-securities-oversight-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2014/finra-executive-vice-president-axelrod-discusses-risks-complex-products2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/15/2012/finra-executive-vice-president-selman-sro-model-applied-investment-advisers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/11/2011/finra-expands-order-audit-trail-system-all-nms-stocks2026-04-15T20:57Zyearly https://www.findknowdo.com/news/10/18/2012/finra-expels-ekn-financial-services-defying-sec-order-and-compliance-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/06/2011/finra-expels-firm-anti-money-laundering-violations2026-04-15T20:57Zyearly https://www.findknowdo.com/news/11/08/2012/finra-expels-hudson-valley-capital-management-and-bars-ceo-defrauding-clearing-firm-and-customers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2013/finra-extends-current-margin-treatment-cds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-extends-current-rate-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2015/finra-extends-expiration-date-refund-program-address-underreported-form-u4-information-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/06/2014/finra-extends-time-sec-action-regarding-definitions-non-public-and-public-arbitrator2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2014/finra-extends-time-requests-relating-new-sea-rule-15c3-3%28d%29%284%29-%28regulatory-notice-14-13%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/19/2012/finra-fall-2012-firm-element-advisory-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2013/finra-fall-2013-firm-element-advisory-podcast-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2013/finra-files-additional-amendments-proposed-rule-change-rule-92172026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2013/finra-files-amendment-and-requests-comments-adoption-amended-rules-regarding-supervision2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/03/2014/finra-files-amendment-and-sec-approves-proposed-rule-change-relating-protecting-personal-confidential-information-documents-filed-finra-dispute-resolution-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/25/2014/finra-files-amendment-no.-1-regarding-trace-reporting-involving-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/04/2013/finra-files-amendment-proposed-rule-change-relating-wash-sale-transaction-self-trades-and-finra-rule-52102026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-files-amendment-proposed-rule-change-require-ats-report-volume-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2013/finra-files-proposed-change-rule-92172026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-files-proposed-rule-change-regarding-reporting-volume-information-alternative-trading-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/23/2013/finra-files-proposed-rule-change-amend-finra-rule-51312026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2013/finra-files-proposed-rule-change-amend-form-u42026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/26/2013/finra-files-proposed-rule-change-extend-a-trace-pilot-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2013/finra-files-proposed-rule-change-extend-clearly-erroneous-pilot-period-and-remove-certain-references-individual-stock-trading-pauses2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/16/2013/finra-files-proposed-rule-change-revise-series-6-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/20/2013/finra-files-proposed-rule-change-update-rules-governing-adf2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2013/finra-files-proposed-rule-changes-relating-securities-borrowing/lending-and-rehypothecation-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2013/finra-files-revisions-series-16-exam2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2014/finra-files-rule-change-relating-reporting-options-positions-traded-concert-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/11/2014/finra-fines-10-firms-research-analyst-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2013/finra-fines-affiliated-firms-email-retention-and-review-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2013/finra-fines-ameriprise-and-its-affiliated-clearing-firm-750000-failing-supervise-transmittal-customer-funds-third-party-accounts2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2011/finra-fines-bd-certain-payments-municipal-issuer-officials2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/10/2011/finra-fines-bd-delays-delivering-prospectuses2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2011/finra-fines-broker-dealer-2-million-deficiencies-its-structured-product-business-and-unsuitable-reverse-convertible-sales2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/05/2013/finra-fines-broker-dealer-firm-sales-non-traditional-etfs-and-mutual-fund-switching-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/11/2012/finra-fines-broker-dealer-failing-supervise-cdo-traders-two-traders-sanctioned-efforts-hide-loss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2011/finra-fines-broker-dealer-misleading-investors-sales-principal-protection-notes2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/05/2013/finra-fines-broker-dealer-penny-stock-and-related-aml-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/03/2015/finra-fines-company-sales-unregistered-penny-stocks-and-aml-violations2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/26/2013/finra-fines-financial-institution-systemic-record-and-e-mail-retention-failures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-fines-firm-650k-compliance-failures-permitted-correspondent-firm-enter-improper-short-sales2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/19/2013/finra-fines-firm-operational-deficiencies2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2014/finra-fines-firm-aggressive-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/26/2014/finra-fines-firm-best-execution-and-supervisory-violations-nonconvertible-preferred-securities-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/29/2014/finra-fines-firm-customer-protection-rule-violations-and-supervisory-failures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/11/2011/finra-fines-firm-failing-supervise-sales-assistant-misappropriated-customer-funds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/16/2014/finra-fines-firm-fair-pricing-and-supervisory-violations-related-purchase-distressed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/24/2015/finra-fines-firm-net-capital-deficiencies-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/27/2014/finra-fines-firm-reg.-sho-violations-and-supervisory-failures2024-04-12T14:32Znever https://www.findknowdo.com/news/05/06/2014/finra-fines-firm-supervisory-failures-connection-sales-ipos-retail-investors2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/16/2013/finra-fines-firm-system-deficiencies-resulted-customer-failures-receive-best-execution-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/15/2011/finra-fines-firm-violations-relating-auction-rate-securities2026-04-15T20:57Zyearly https://www.findknowdo.com/news/06/04/2014/finra-fines-firms-submitting-inaccurate-blue-sheet-data-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/12/2011/finra-fines-five-broker-dealers-improper-handling-fees-%28press-release%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/01/2014/finra-fines-goldman-sachs-failing-prevent-trade-throughs-its-alternative-trading-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/15/2015/finra-fines-investment-bank-short-interest-reporting-and-short-sale-rule-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-fines-lpl-financial-llc-supervisory-failures-related-sales-alternative-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2012/finra-fines-merrill-lynch-500000-failing-file-required-reports2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/16/2014/finra-fines-merrill-lynch-failing-waive-charity-and-retirement-account-mutual-fund-sales-charges2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/22/2012/finra-fines-rodman-renshaw-315000-supervisory-and-information-barrier-violations-former-cco-and-two-research-analysts-sanctioned2024-04-12T14:54Znever https://www.findknowdo.com/news/11/06/2013/finra-fines-td-ameritrade-clearing-and-sg-americas-securities-options-positions-reporting-and-supervisory-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/08/2013/finra-fines-three-firms-900000-aml-violations-also-two-compliance-officers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-fines-three-firms-mutual-fund-overcharges2026-04-15T20:55Zyearly https://www.findknowdo.com/news/03/12/2014/finra-fines-two-firms-consolidated-reporting-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/18/2014/finra-fines-two-subsidiaries-wells-fargo-aml-failures2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/08/12/2015/finra-focuses-financial-and-operational-priorities-fifth-educational-podcast2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/20/2015/finra-focuses-market-integrity-sixth-podcast-regulatory-and-examination-priorities-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/13/2012/finra-foundation-and-bbb-launch-smart-investing-website-help-stop-investment-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2012/finra-foundation-participates-department-justice-sec-fraud-summits2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/29/2013/finra-foundations-state-state-financial-capability-survey-and-related-ketchum-remarks2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/21/2013/finra-hearing-panel-regard-arbitration-provisions-broker-dealer-customer-agreements-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/24/2014/finra-imposes-15-million-fine-broker-dealer-supervisory-failures-relating-equity-research2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/13/2012/finra-increases-transparency-tba-market-agency-pass-through-mortgage-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2013/finra-information-notice-continuing-education-planning2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/26/2013/finra-information-notice-reminds-firms-exercise-cut-time-weekly-options-expiring-friday-after-thanksgiving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/25/2013/finra-information-notice-change-form-u-4-regarding-reporting-judgment/lien-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/26/2012/finra-information-notice-extension-current-rate-fees-paid-under-section-31-exchange-act2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/17/2012/finra-information-notice-late-disclosure-fee-related-reporting-judgment/lien-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/02/2012/finra-information-notice-new-criteria-and-process-candidates-whose-primary-language-not-english2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/23/2013/finra-information-notice-new-regulatory-element-continuing-education-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/28/2013/finra-investor-alert-closed-end-fund-distributions-where-money-coming2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2013/finra-investor-alert-evaluate-private-placement-risks-placing-them-your-portfolio2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/15/2013/finra-investor-alert-five-tips-avoid-cliff-diving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/27/2012/finra-investor-alert-what-you-need-know-about-halts-suspensions-and-other-interruptions-trading-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/31/2013/finra-investor-education-foundation-and-american-library-association-announce-financial-literacy-grant2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2014/finra-investor-survey-reveals-support-additional-regulatory-protections-%28-lofchie-comment-and-bonus-survey-question%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/20/2013/finra-investors-alert-beware-marijuana-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/31/2013/finra-invitation-comment-markups-%28-lofchie-comment%292024-04-12T14:43Znever https://www.findknowdo.com/news/12/23/2014/finra-issues-2015-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/23/2014/finra-issues-april-2014-supplement-security-futures-risk-disclosure-statement-%28reg.-notice-14-24%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-issues-election-notice2026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/28/2015/finra-issues-election-notice-seat-nac2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/03/2014/finra-issues-election-notices-finra-district-committee-and-small-firm-advisory-board2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/05/2015/finra-issues-final-renewal-statements-and-fees-registered-entities-%28notice-15-01%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/22/2015/finra-issues-guidance-advertising-and-communications-%28finra-reg.-notice-15-17%29-%28-lofchie-youtube-selection%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/30/2015/finra-issues-guidance-short-positions-and-fails-receive-municipal-securities-transactions2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/23/2013/finra-issues-information-notice-2014-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/16/2014/finra-issues-interpretation-clarify-classification-and-trade-reporting-certain-hybrid-securities-%28finra-regulatory-notice-14-23%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/15/2015/finra-issues-interpretive-letter-regarding-related-performance-information-institutional-investors-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/11/2014/finra-issues-investor-alert-regarding-frontier-funds-%28-lofchie-music-selection%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2014/finra-issues-investor-alert-regarding-high-yield-cds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-issues-investor-alert-regarding-ira-rollovers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2014/finra-issues-investor-alert-warn-against-viral-disease-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/27/2015/finra-issues-multimillion-dollar-fine-oats-and-trade-reporting-failures-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/06/11/2013/finra-issues-new-investor-alert-alternative-funds-are-not-your-typical-mutual-funds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/17/2014/finra-issues-notice-secs-approval-amendments-expanding-arbitrators-authority-make-referrals-during-arbitration-proceeding-%28finra-reg.-notice-14-42%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/21/2014/finra-issues-notice-regarding-2014-gasb-accounting-support-fee-%28finra-regulatory-notice-14-17%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-issues-notice-regarding-amendments-series-26-examination-program-%28regulatory-notice-14-18%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/27/2014/finra-issues-notice-regarding-broker-dealer-and-investment-adviser-renewals-2015-%28finra-reg.-notice-14-44%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/09/2014/finra-issues-notice-regarding-confidentiality-agreements-customer-disputes-%28finra-reg.-notice-14-40%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/06/2014/finra-issues-notice-regarding-definition-hearing-officer-%28finra-reg.-notice-14-32%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2014/finra-issues-notice-regarding-extension-current-rates-transaction-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/27/2014/finra-issues-notice-regarding-payments-market-making-%28finra-reg.-notice-14-26%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-issues-notice-regarding-revised-proposal-require-a-hyperlink-brokercheck-online-retail-communications-public-%28regulatory-notice-14-19%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2014/finra-issues-notice-regarding-revisions-codes-used-reporting-customer-complaints-%28regulatory-notice-14-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-issues-notice-regarding-secs-approval-amendments-arbitration-codes-%28finra-reg.-notice-15-18%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/08/2015/finra-issues-notice-regarding-secs-approval-amendments-arbitration-codes-%28finra-reg.-notice-15-21%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2015/finra-issues-podcast-regulatory-and-examination-priorities-2015-part-32026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/18/2014/finra-issues-precious-metals-investor-alert2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-issues-proposal-regarding-exemptions-oats-recording-and-reporting-requirements-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2013/finra-issues-public-statement-regarding-finras-approach-economic-impact-assessment-proposed-rulemaking-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/21/2014/finra-issues-quarterly-disciplinary-review-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/09/2014/finra-issues-retrospective-rule-review-reports2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/21/2013/finra-january-2013-podcast-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-launches-retrospective-rule-review-finra-regulatory-notices-14-14-and-14-152026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-launches-review-routing-and-execution-quality-customer-orders-exchange-listed-stocks-%28-lofchie-comment%292026-06-20T21:47Zmonthly https://www.findknowdo.com/news/01/16/2013/finra-launches-small-claims-telephonic-mediation-pilot-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/10/2014/finra-makes-recommendations-training-programs-%28finra-reg.-notice-14-41%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/18/2014/finra-marks-75th-anniversary-nasd2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2013/finra-may-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/03/2014/finra-may-delay-implementation-date-market-participant-identifier-requirements-atss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/21/2012/finra-mediators-classified-public-members-if-they-are-not-otherwise-outside-definition2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2011/finra-modifies-process-firms-designate-allocation-methodology-options-exercise-assignment-notices2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-names-leslie-f.-seidman-new-public-governor2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2014/finra-names-new-floor-member-governor2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/30/2014/finra-names-richard-berry-director-dispute-resolution2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2013/finra-names-two-new-heads-member-regulation-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2013/finra-new-investor-alert-duration-what-interest-rate-hike-could-do-your-bond-portfolio2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/28/2012/finra-notice-guidance-firms-potentially-affected-hurricane-isaac2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-notice-13-13-amendments-rule-6440-relating-trading-and-quotation-halts-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/18/2013/finra-notice-13-17-gasb-accounting-support-fee2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2013/finra-notice-13-18-communications-public-unlisted-real-estate-investment-programs-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2013/finra-notice-13-20-designation-additional-index-available-conventional-equity-options-position-limits-calculation2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/30/2013/finra-notice-13-26-new-private-placements-form-pursuant-finra-rules-5122-and-5123-and-faq2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/30/2013/finra-notice-13-35-sec-approves-finra-amendments-trace-rules-and-dissemination-protocols2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/31/2013/finra-notice-13-36-revisions-series-6-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2013/finra-notice-13-37-broker-dealer-and-investment-adviser-2014-renewals2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2012/finra-notice-continuing-education-list-covered-topics2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/24/2012/finra-notice-december-2012-disciplinary-actions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2012/finra-notice-2013-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-district-committee-election-and-ballots2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-election-and-ballots-finra-small-firm-nac-member-set2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-notice-reduction-reporting-times-agency-pass-through-mortgage-backed-securities-traded-tba2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-small-firm-advisory-board-election-and-ballots2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-november-2012-supplement-options-disclosure-document2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-orders-bank-affiliated-broker-dealers-reimburse-customers-unsuitable-sales-floating-rate-bank-loan-funds-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/26/2012/finra-orders-firm-pay-millions-restitution-improper-pricing-mutual-fund-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-orders-firms-pay-fines-unsuitable-sales-etfs-and-supervisory-deficiencies-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/11/2011/finra-orders-schwab-pay-18m-investors-improper-marketing-yieldplus-bond-fund2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/09/2013/finra-penalizes-firm-and-trader-unfair-prices-municipal-and-supervisory-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/18/2015/finra-pilot-proposal-extending-tier-size-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2015/finra-podcast-highlights-may-2015-monthly-recap-finra-notices-and-selected-sec-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2014/finra-podcast-suitability-effective-practices-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2014/finra-podcast-spring-2014-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-1-suitability-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-2-recidivists-conflicts-cybersecurity-rollovers-and-accredited-investors2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-3-business-conduct-concerns2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/04/15/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-4-fraud-prevention-and-financial-and-operational-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-5-market-regulation-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/27/2015/finra-podcast-5-things-you-should-know-about-securities-professionals2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2013/finra-podcast-a-few-minutes-finra-%28primarily-its-examination-program%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2013/finra-podcast-a-few-minutes-finra-featuring-chairman-ketchum-conflicts-interest2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2013/finra-podcast-a-few-minutes-finra-featuring-chief-economist-jonathan-sokobin2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2013/finra-podcast-april-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2014/finra-podcast-april-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2015/finra-podcast-april-2015-monthly-recap-focuses-continuing-education-and-reverse-convertibles2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2014/finra-podcast-aprils-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/11/2013/finra-podcast-august-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/09/2014/finra-podcast-august-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-podcast-communications-public-retail-and-ira-fee-disclosure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2014/finra-podcast-december-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/07/2015/finra-podcast-december-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2013/finra-podcast-electronic-communication-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/29/2013/finra-podcast-electronic-communications-public-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/01/2014/finra-podcast-fall-2014-firm-element-advisory-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-podcast-fall-2014-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/15/2015/finra-podcast-fall-2014-firm-element-advisory-part-32024-04-12T14:30Znever https://www.findknowdo.com/news/03/07/2014/finra-podcast-february-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2015/finra-podcast-february-2015-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-podcast-inspection-requirements-part-32026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2014/finra-podcast-ira-rollovers-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2014/finra-podcast-ira-rollovers-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/05/2014/finra-podcast-january-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2015/finra-podcast-january-2015-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2014/finra-podcast-july-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/31/2014/finra-podcast-july-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2015/finra-podcast-june-2015-monthly-recap-finra-notices-and-selected-sec-rule-approvals2026-04-15T20:55Zyearly https://www.findknowdo.com/news/04/05/2013/finra-podcast-march-2013-monthly-recap-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2014/finra-podcast-may-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/04/2013/finra-podcast-november-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/08/2014/finra-podcast-november-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2013/finra-podcast-october-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2014/finra-podcast-october-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-podcast-octobers-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/18/2014/finra-podcast-primary-supervision-requirement-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/28/2015/finra-podcast-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/23/2013/finra-podcast-quarterly-disciplinary-review-april-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/20/2013/finra-podcast-quarterly-disciplinary-review-july-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-podcast-regulatory-and-examination-priorities-part-3-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-podcast-regulatory-and-examination-priorities-part-4-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2013/finra-podcast-regulatory-and-examination-priorities-2013-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/29/2015/finra-podcast-regulatory-and-examination-priorities-2015-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-podcast-regulatory-and-examination-priorities-2015-part-2-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/24/2014/finra-podcast-reviewing-correspondence-communications-and-complaints-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2014/finra-podcast-rules-related-supervision2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2013/finra-podcast-september-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/02/2014/finra-podcast-september-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/29/2013/finra-podcast-spring-2013-firm-element-advisory-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/13/2015/finra-podcast-spring-2015-firm-element-advisory-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/21/2015/finra-podcast-spring-2015-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2015/finra-podcast-what-you-should-know-about-automated-investment-tools2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/19/2015/finra-poses-new-questions-compensation-and-conflicts-interest-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/24/2015/finra-proposal-amending-codes-arbitration-procedures-related-canceling-or-postponing-a-hearing-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/25/2011/finra-proposal-relating-security-based-swaps2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-proposal-relating-trace-reporting-asset-backed-securities2026-04-15T20:57Zyearly https://www.findknowdo.com/news/04/24/2011/finra-proposal-adopt-nasd-rule-2830-finra-rule-2341-significant-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/27/2015/finra-proposal-adopt-rule-member-filing-and-contact-requirements-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2011/finra-proposal-adopt-rules-supervision-consolidated-finra-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2011/finra-proposal-establish-new-registration-requirements-operations-personnel2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/05/2011/finra-proposal-rename-otc-bulletin-board2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2014/finra-proposal-revise-operative-date-deletion-rule-7740-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/25/2013/finra-proposed-rule-change-extending-pilot-period-regarding-use-multiple-mpids-finra-facilities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/03/2014/finra-proposed-rule-change-regarding-adf-capacity-management-plan2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/02/2013/finra-proposed-rule-change-relating-trace-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-proposed-rule-change-amend-finra-rule-8312-%28brokercheck-disclosure%29-and-schedule-a-finra-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2012/finra-proposed-rule-change-amend-finra-trace-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-proposed-rule-change-amend-rule-12403-code-arbitration-procedure-customer-disputes-simplify-arbitrator-selection-cases-three-arbitrators2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/31/2013/finra-proposed-rule-change-amend-rule-6700-series-and-trace-dissemination-protocols2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2013/finra-proposed-rule-change-amend-rule-83122026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-proposed-rule-change-amend-discovery-guide-used-customer-arbitration-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/25/2014/finra-proposed-rule-change-amend-security-futures-risk-disclosure-statement-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-proposed-rule-change-establish-optional-trace-data-delivery-services-and-related-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2012/finra-proposed-rule-change-extend-a-trace-pilot-program-finra-rule-6730%28e%29%284%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2013/finra-proposed-rule-change-extend-tier-size-pilot-finra-rule-64332026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2013/finra-proposed-rule-change-finra-rule-7730%28c%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/25/2013/finra-proposed-rule-change-modify-late-report-tn-fee-applicable-members-using-finra/nasdaq-trade-reporting-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/21/2013/finra-proposed-rule-change-rule-5123-%28private-placements-securities%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/04/2013/finra-proposed-rule-change-update-cross-references-and-make-other-non-substantive-changes-within-finra-rules-and-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/08/2013/finra-proposed-rule-change-dissemination-transactions-trace-eligible-securities-are-effected-pursuant-securities-act-rule-144a2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/18/2013/finra-proposed-rule-change-participation-alternative-display-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/29/2012/finra-proposed-rule-changes-relating-trace-reporting-and-dissemination-transactions-agency-pass-through-mortgage-backed-securities-traded-specified-pool-transactions-and-sba-backed-abs-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/16/2013/finra-proposed-rule-wash-sale-transactions-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/09/2014/finra-proposes-adoption-commissions-and-mark-ups-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2015/finra-proposes-adoption-debit-process-rule-collection-trade-reporting-facility-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/13/2015/finra-proposes-adoption-rule-regarding-sales-or-offers-sales-securities-military-members-or-dependents-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/27/2014/finra-proposes-amended-margin-requirements-tbas-finra-regulatory-notice-14-022026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/05/2015/finra-proposes-amending-codes-arbitration-procedure-relating-canceling-or-postponing-a-hearing2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2014/finra-proposes-amendment-no.-1-relating-proposed-rule-change-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/23/2014/finra-proposes-amendment-extend-finra-rule-42402026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2015/finra-proposes-amendment-require-members-web-sites-link-brokercheck2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/10/2014/finra-proposes-amendment-rule-22512026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2014/finra-proposes-amendment-rule-regarding-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2015/finra-proposes-amendments-regarding-exemptions-oats-recording-and-reporting-requirements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/02/2014/finra-proposes-amendments-regarding-fees-otc-reporting-facility-and-historical-research2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2014/finra-proposes-amendments-regarding-fees-otc-reporting-facility-and-historical-research-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-proposes-amendments-relating-quotation-requirements-unlisted-equity-securities-and-otc-bulletin-board-service2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2014/finra-proposes-amendments-finra-rules-7510-and-75402026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2015/finra-proposes-extending-expiration-date-refund-program-address-underreported-form-u4-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/19/2013/finra-proposes-extension-finra-rule-0180-%28application-rules-security-based-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2014/finra-proposes-incorporating-nasd-rule-regarding-background-investigations-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/10/2015/finra-proposes-increase-qualification-examination-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/21/2014/finra-proposes-new-rule-regarding-charges-services-performed2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-proposes-removal-rule-ats-data-fees-rulebook2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/27/2014/finra-proposes-revision-implementation-date-supplemental-inventory-schedule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2014/finra-proposes-revisions-series-26-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/26/2014/finra-proposes-rule-amendment-regarding-supplemental-schedule-inventory-positions-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/19/2015/finra-proposes-rule-amendment-clarify-definition-asset-backed-security-trace-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/15/2014/finra-proposes-rule-amendments-relating-quotation-requirements-unlisted-equity-securities-and-deletion-otc-bulletin-board-service-rules-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/11/2014/finra-proposes-rule-amendments-revise-series-23-and-24-examination-programs-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2014/finra-proposes-rule-change-regarding-options-exercise-procedures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-proposes-rule-change-regarding-temporary-and-permanent-cease-and-desist-orders-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/07/2014/finra-proposes-rule-change-regarding-composition-hearing-panels-and-extended-hearing-panels2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/21/2014/finra-proposes-rule-change-regarding-composition-hearing-panels-and-extended-hearing-panels-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2014/finra-proposes-rule-change-relating-share-estimated-valuations-unlisted-dpp-and-reits2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/03/2014/finra-proposes-rule-change-relating-reporting-and-market-participant-identifier-requirements-atss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2014/finra-proposes-rule-change-relating-revisions-definitions-non-public-and-public-arbitrator2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-proposes-rule-change-adopt-finra-rule-7640a2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2014/finra-proposes-rule-change-adopt-rules-0190-and-2040-and-amend-rule-8311-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-proposes-rule-change-amend-position-limits-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/04/2013/finra-proposes-rule-change-amend-rule-83122026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/13/2014/finra-proposes-rule-change-amend-codes-arbitration-procedure-increase-arbitrator-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/02/2015/finra-proposes-rule-change-clarify-scope-definition-asset-backed-security-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/13/2015/finra-proposes-rule-change-require-members-web-sites-include-brokercheck-reference-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/25/2014/finra-proposes-rule-change-revise-operative-date-deletion-rule-77402026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-proposes-rule-change-simplify-and-refine-scope-corporate-financing-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/31/2014/finra-proposes-rule-change-updating-cross-references-and-making-non-substantive-technical-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2015/finra-proposes-rule-changes-regarding-accounts-employees-and-families-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/07/2015/finra-proposes-rule-changes-regarding-accounts-employees-and-families2026-04-15T20:55Zyearly https://www.findknowdo.com/news/06/25/2015/finra-proposes-rule-changes-expand-ats-transparency-initiative2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2015/finra-proposes-rule-changes-expand-ats-transparency-initiative-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/25/2015/finra-proposes-rule-private-securities-transactions-associated-persons2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/03/2013/finra-proposes-rule-regarding-new-entrant-alternative-display-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/14/2014/finra-proposes-rule-regarding-prohibited-conditions-relating-expungement-customer-dispute-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/23/2014/finra-proposes-rule-regarding-prohibited-conditions-relating-expungement-customer-dispute-information-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2015/finra-proposes-rule-regarding-sales-or-offers-sales-securities-military-members-or-dependents2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-proposes-rule-relating-electronically-written-decisions-members-seeking-exemptive-relief-under-nasd-rule-10702026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-proposes-rule-relating-otc-equity-trade-reporting-and-oats-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/13/2013/finra-proposes-rule-relating-trace-reporting-and-dissemination-transactions-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-proposes-rule-requiring-members-report-transactions-trace-eligible-securities-soon-practicable2026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/20/2015/finra-proposes-rule-requiring-members-report-transactions-trace-eligible-securities-soon-practicable-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/03/28/2014/finra-proposes-rule-adopt-rule-4553-establish-a-fee-schedule-ats-volume-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-proposes-rule-amend-debit-process-collection-trade-reporting-facility-fees-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/02/2014/finra-proposes-rule-amend-definition-hearing-officer-include-former-finra-employees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2014/finra-proposes-rule-amend-finra-rule-6432-prevent-issuers-paying-market-making-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-proposes-rule-amend-security-futures-risk-disclosure-statement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/25/2013/finra-proposes-rule-amend-uniform-branch-office-registration-form-%28form-br%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/12/2014/finra-proposes-rule-change-reporting-member-definition2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/21/2015/finra-proposes-rule-extend-expiration-date-rule-0180-disapplying-finra-rules-security-based-swaps-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-proposes-rule-extend-implementation-rule-4240-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2014/finra-proposes-rule-extend-clearly-erroneous-transactions-pilot-program-exchange-listed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2014/finra-proposes-rule-grant-exemptions-finra-rule-5131-without-sec-approval-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2015/finra-proposes-rule-update-cross-references2026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/12/2015/finra-proposes-adoption-finra-rule-member-filing-and-contact-information-requirements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-proposes-establishment-securities-trader-and-securities-trader-principal-registration-categories2026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/28/2014/finra-proposes-adopt-commissions-and-mark-ups-rule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2014/finra-proposes-adopt-finra-rule-2040-%28payments-unregistered-persons%29-and-amend-rule-8311-%28effect-a-suspension%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/03/2014/finra-proposes-adopt-limited-fee-waiver-pilot-program-pursuant-rule-77302026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2014/finra-proposes-adopt-nasd-rules-regarding-research-analysts-and-research-reports-finra-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/10/2014/finra-proposes-adopt-rule-regarding-member-recruitment-practices-disclosure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/16/2014/finra-proposes-adopt-supplemental-schedule-inventory-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2014/finra-proposes-amend-debt-research-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2015/finra-proposes-amend-reporting-requirements-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/27/2014/finra-proposes-amend-rule-51102026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-proposes-amend-rules-regarding-temporary-and-permanent-cease-and-desist-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/11/2014/finra-proposes-amend-rules-relating-concert-reporting-options-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/29/2014/finra-proposes-amend-series-23-and-series-24-examination-programs2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/05/2014/finra-proposes-amend-trace-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2014/finra-proposes-delay-implementation-date-trade-reporting-amendments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-proposes-delay-trace-dissemination-requirements-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2015/finra-proposes-establish-securities-trader-and-securities-trader-principal-registration-categories2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/29/2014/finra-proposes-expand-arbitrators-ability-make-referrals-suspected-bad-conduct2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2014/finra-proposes-extend-exemption-security-based-swaps-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2015/finra-proposes-extend-expiration-date-rule-0180-%28application-finra-rules-security-based-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2015/finra-proposes-extend-implementation-margin-requirements-credit-default-swaps-rule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/30/2015/finra-proposes-extend-tier-size-pilot2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/20/2015/finra-proposes-further-extend-implementation-rule-4240-involving-margin-requirements-credit-default-swaps2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/30/2015/finra-proposes-increase-qualification-examination-fees-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2014/finra-proposes-modify-gross-income-assessment-pricing-structure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/13/2014/finra-proposes-protect-personal-confidential-information-documents-filed-finra-dispute-resolution2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2015/finra-proposes-provide-a-web-based-delivery-method-continuing-education-requirement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/10/2014/finra-proposes-revise-implementation-date-supplemental-inventory-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/03/2014/finra-proposes-update-cross-references-and-make-non-substantive-technical-changes-certain-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/18/2014/finra-proposes-update-cross-references-and-make-non-substantive-technical-changes-certain-rules-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/15/2015/finra-proposes-update-series-4-options-exam2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-proposes-web-based-delivery-method-completing-regulatory-element-continuing-education-requirements-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2013/finra-provides-a-process-waiving-cma-fees-less-significant-cma-changes-and-refunding-nma-and-cma-fees-applications-withdrawn-within-30-days-after-filing2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/25/2011/finra-provides-guidance-new-operations-professional-registration-requirement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/07/2013/finra-provides-guidance-new-rules-governing-communications-public2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/14/2011/finra-provides-guidance-prohibition-against-offering-favorable-research-induce-investment-banking-business-%28notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/19/2015/finra-provides-limited-relief-regarding-requirement-transmit-funds-connection-sales-securities-subscription-way-basis-%28reg.-notice-15-23%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/18/2015/finra-publishes-proposal-extend-tier-size-pilot-regarding-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/13/2015/finra-publishes-proposal-extend-tier-size-pilot-regarding-over-counter-equity-securities-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/19/2015/finra-publishes-proposed-amendments-reporting-requirements-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-publishes-report-conflicts-interest-broker-dealer-industry-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/10/2014/finra-publishes-rule-change-updating-cross-references-and-making-non-substantive-technical-changes-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2014/finra-regulatory-calendar2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/27/2012/finra-regulatory-notice-12-38-sec-approves-amendments-finras-short-interest-reporting-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/20/2013/finra-regulatory-notice-13-29-request-comments-revised-proposed-rules-governing-membership-application-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/23/2013/finra-regulatory-notice-13-30-sec-approves-amendments-customer-arbitration-code2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/25/2013/finra-regulatory-notice-13-31-examination-approaches-common-findings-and-effective-practices-complying-suitability-rule-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/23/2013/finra-regulatory-notice-13-34-request-comment-proposed-funding-portal-rules-crowdfunding2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2013/finra-regulatory-notice-13-39-sec-approved-amendments-finra-rule-2360-and-rule-4210-regarding-otc-options-cleared-occ2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/15/2013/finra-regulatory-notice-13-40-sec-approves-amendments-discovery-guide-used-arbitration-proceedings-regarding-electronic-discovery2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/19/2013/finra-regulatory-notice-13-41-efocus-system-updates-applicable-joint-broker-dealers/fcms2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-regulatory-notice-13-42-proposal-develop-comprehensive-automated-risk-data-system-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-regulatory-notice-13-43-sec-approves-finra-rule-regarding-issue-allocations-and-distributions-mfa-submits-comment-letter-regarding-amendments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2013/finra-regulatory-notice-13-45-finra-reminds-firms-their-responsibilities-concerning-ira-rollovers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/02/2014/finra-regulatory-notice-14-01-final-renewal-statements-broker-dealers-and-ia2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/30/2014/finra-regulatory-notice-14-03-finra-amends-rule-2251-regarding-proxy-rate-reimbursement-and-enhanced-brokers-internet-platforms2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/02/2014/finra-releases-2014-regulatory-and-examination-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2015/finra-releases-2015-regulatory-and-examination-priorities-letter2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2012/finra-releases-disciplinary-actions-list-july-20122026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-releases-enhanced-version-brokercheck2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/01/2013/finra-releases-faq-regarding-trace-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2015/finra-releases-podcast-recapping-recent-developments2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/27/2015/finra-releases-quarterly-disciplinary-review-podcast2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/18/2013/finra-releases-semi-annual-information-notice-continuing-education-planning2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/21/2014/finra-reminds-atss-and-ats-subscribers-trade-reporting-obligations-trace-eligible-securities-%28finra-reg.-notice-14-53%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-reminds-firms-2015-and-first-quarter-2016-report-filing-due-dates2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/25/2014/finra-reminds-firms-exercise-cut-time-weekly-options-expiring-friday-after-thanksgiving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2011/finra-reminds-firms-obligations-under-finra-rule-45302026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/17/2012/finra-reminds-firms-rule-5131%28d%29%284%29s-prohibition-accepting-market-orders-purchase-new-issues-prior-commencement-trading-secondary-market-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-reminds-firms-their-obligations-under-foreign-corrupt-practices-act2026-04-15T20:57Zyearly https://www.findknowdo.com/news/11/14/2014/finra-requests-comments-a-proposal-establish-a-pay-play-rule-%28finra-reg.-notice-14-50%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comment-a-proposal-publish-otc-equity-volume-executed-outside-atss-%28finra-reg.-notice-14-48%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comment-a-proposal-tighten-business-clock-synchronization-requirements-%28finra-reg.-notice-14-47%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/04/2013/finra-requests-comment-a-proposed-rule-require-disclosure-conflicts-interest-relating-recruitment-compensation-practices2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-requests-comment-a-proposed-supplemental-schedule-inventory-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/17/2014/finra-requests-comment-equity-market-disclosure-proposals-%28finra-reg.-notice-14-51%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2015/finra-requests-comment-new-academic-trace-data-product-%28finra-reg.-notice-15-26%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/02/2014/finra-requests-comment-proposal-establish-publicly-accessible-online-repository-form-211-information-%28finra-reg.-notice-14-29%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2011/finra-requests-comment-proposal-implement-accounting-support-fee2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2015/finra-requests-comment-proposal-require-atss-submit-quotation-information-relating-fixed-income-securities-%28finra-reg.-notice-15-03%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/07/2012/finra-requests-comment-proposed-amendments-finra-rule-5110-regarding-deferred-compensation-arrangements-public-offerings-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2012/finra-requests-comment-proposed-amendments-nasd-rule-2340-address-values-unlisted-direct-participation-programs-and-real-estate-investment-trusts2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/10/2011/finra-requests-comment-proposed-consolidated-finra-rules-governing-markups-commissions-and-fees2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/06/2015/finra-requests-comment-proposed-exemption-trading-activity-fee-proprietary-trading-firms-%28regulatory-notice-15-13%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/06/2012/finra-requests-comment-proposed-new-re-expungement-procedures-persons-not-named-a-customer-initiated-arbitration2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2012/finra-requests-comment-proposed-regulation-crowdfunding-activities-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2012/finra-requests-comment-proposed-supplementary-schedule-derivatives-and-other-balance-sheet-items-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/30/2014/finra-requests-comment-rule-proposal-implement-cards-%28finra-reg.-notice-14-37%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comments-a-proposal-regarding-reporting-otc-equity-trades-%28finra-reg.-notice-14-46%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/18/2015/finra-requests-comments-amendments-rules-governing-communications-public-%28finra-reg.-notice-15-16%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-requests-comments-proposal-concerning-recruitment-practices-%28finra-reg.-notice-15-19%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2015/finra-requests-comments-proposal-adopt-new-rule-regarding-discretionary-accounts-and-transactions-%28reg.-notice-15-22%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/10/2015/finra-requests-comments-proposal-disseminate-additional-securitized-products-%28finra-reg.-notice-15-04%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2015/finra-requests-comments-proposal-require-registration-associated-persons-responsible-algorithmic-trading-strategies-%28finra-reg.-notice-15-06%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-requests-comments-proposal-restructure-representative-level-qualification-examination-program-%28finra-reg.-notice-15-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/26/2014/finra-requests-comments-proposed-rule-set-limited-corporate-financing-brokers-finra-regulatory-notice-14-092026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2015/finra-requests-comments-reduction-delay-period-historic-trace-data-%28finra-reg.-notice-15-24%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/16/2014/finra-requests-comments-revised-proposal-regarding-customer-account-statements-%28reg.-notice-14-35%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/06/2012/finra-requests-comments-trace-dissemination-issues-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/28/2013/finra-revises-equity-trader-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2014/finra-revises-process-providing-non-native-english-speakers-extra-time-complete-qualification-examinations-or-continuing-education-sessions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-revises-sanction-guidelines2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/13/2014/finra-revises-series-23-and-24-examination-programs-%28finra-reg.-notice-14-33%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/10/2015/finra-revises-series-4-examination-program-%28finra-regulatory-notice-15-29%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/09/2011/finra-revises-sanction-guidelines2026-04-15T20:57Zyearly https://www.findknowdo.com/news/07/06/2011/finra-revises-treatment-non-margin-eligible-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2011/finra-rn-arbitration-panel-composition-promissory-note-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2011/finra-rn-five-day-period-replies-responses-motions-arbitration2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/31/2012/finra-rule-4210-debt-securities-survey2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/02/2012/finra-rule-amendments-relating-stop-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/12/2012/finra-rule-change-re-jobs-act-requirements-and-assorted-sro-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/03/2011/finra-rule-change-relating-effective-date-oats-expansion2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/03/2014/finra-rule-change-rule-2360-regarding-position-limits-certain-index-options2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/09/2014/finra-rule-change-extend-tier-size-pilot-regarding-minimum-quotation-size-requirements-otc-equity-securities-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2014/finra-rule-change-require-firms-making-markets-attest-they-do-not-receive-compensation-issuer-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/28/2014/finra-rule-branch-reporting-and-two-finra-rules-trade-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2014/finra-rule-proposal-amend-definition-hearing-officer-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2015/finra-rule-regarding-background-checks-registration-applications-%28finra-reg.-notice-15-05%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/08/2014/finra-rule-regarding-charges-services-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2012/finra-rule-repealed-and-other-securities-sro-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2012/finra-sanctions-david-lerner-associates-14-million-unfair-practices-sale-apple-reit-ten-and-charging-excessive-markups-municipal-bonds-and-cmos2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/22/2013/finra-sanctions-firm-best-execution-and-fair-pricing-violations-bond-markets-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-sanctions-firm-failing-register-and-supervise-foreign-personnel-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2015/finra-sanctions-firm-supervisory-failures-related-complex-product-sales-trade-surveillance-and-trade-confirmations-delivery2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/27/2012/finra-sanctions-five-firms-4.4-million-using-municipal-and-state-bond-funds-pay-lobbyists2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/07/2011/finra-sanctions-two-firms-and-seven-individuals-selling-private-placements-without-conducting-a-reasonable-investigation2026-04-15T20:57Zyearly https://www.findknowdo.com/news/09/30/2013/finra-seeks-cease-and-desist-order-against-john-carris-investments-fraud2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2013/finra-seeks-cease-and-desist-order-against-westor-capital-group-and-its-president-misappropriation-and-misuse-customer-funds-and-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/24/2013/finra-seeks-adopt-consolidated-finra-supervision-rules-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2013/finra-surveys-update-series-4-9-and-10-qualification-examinations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2011/finra-suspends-broker-dealer-and-its-president2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/26/2013/finra-takes-action-against-statetrust-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/13/2012/finra-extend-date-which-eligible-registrants-must-complete-a-firm-element-continuing-education-program-qualify-engage-a-security-futures-business-%28proposed-rule-change%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/19/2014/finra-increase-nfa-exam-fees-2015-%28nfa-notice-i-14-31%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/11/2014/finra-trade-reporting-notice-obligation-report-cancellations-otc-trades-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2013/finra-trade-reporting-notice-reporting-reversals-otc-trades-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/11/2015/finra-updates-faq-eligibility-proceedings-firms-participating-mcdc-initiative2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-15-25%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-updates-interpretations-financial-and-operational-rules-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-waives-trace-late-trade-reporting-fees-connection-sandy2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2014/finra-warns-investors-e-cigarette-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/17/2015/finra-withdraws-proposed-rule-change-regarding-quotation-requirements-unlisted-equity-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-withdraws-proposed-rule-adopt-rule-2243-regarding-disclosure-and-reporting-obligations-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/31/2012/finra-withdraws-rule-filing-fees-members-using-trade-reporting-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2013/finras-2012-year-review2022-04-30T03:23Znever https://www.findknowdo.com/news/03/05/2013/finras-march-2013-monthly-compliance-and-news-recap-podcast2020-12-23T17:58Znever https://www.findknowdo.com/news/11/24/2014/finras-proposed-rules-relating-research-published-federal-register2020-12-15T05:55Znever https://www.findknowdo.com/news/10/28/2013/finras-rick-ketchum-think-billy-beane-and-unleash-power-data-new-era-regulation-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/10/24/2012/finras-susan-axelrod-recent-developments-broker-dealer-compliance-programs-focusing-cyber-security2021-03-20T16:47Znever https://www.findknowdo.com/news/09/25/2012/finra-exchanges-and-sec-fine-broker-dealer-more-5.9-million-manipulative-trading-anti-money-laundering-and-other-violations-%28-lofchie-comment%292021-03-26T18:58Znever https://www.findknowdo.com/news/10/17/2014/finra-proposed-rule-change-implementation-date-market-participant-identifier-requirements-atss-published-%28fed.-reg.%292020-12-15T04:32Znever https://www.findknowdo.com/news/05/06/2014/finra-proposed-rule-change-relating-clearly-erroneous-transactions-exchange-listed-securities-%28fed.-reg.%292020-12-15T04:34Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-change-relating-reporting-and-market-participant-identifier-requirements-atss-%28fed.-reg.%292020-12-15T04:18Znever https://www.findknowdo.com/news/07/03/2014/finra-proposed-rule-change-relating-revisions-definitions-non-public-and-public-arbitrator-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/31/2014/finra-proposed-rule-change-amend-finra-rules-2210-and-2214-%28fed.-reg.%292026-06-20T23:10Zmonthly https://www.findknowdo.com/news/12/31/2013/finra-proposed-rule-change-amend-rule-22512020-12-15T03:24Znever https://www.findknowdo.com/news/10/10/2013/finra-proposed-rule-change-amend-rule-7230b2020-12-15T03:08Znever https://www.findknowdo.com/news/04/29/2014/finra-proposed-rule-change-amend-series-26-exam-%28fed.-reg.%292020-12-15T02:55Znever https://www.findknowdo.com/news/09/17/2013/finra-proposed-rule-change-clarify-classification-and-reporting-certain-securities2020-08-06T23:07Znever https://www.findknowdo.com/news/03/28/2014/finra-proposed-rule-change-extend-clearly-erroneous-pilot-program-exchange-listed-securities-%28fed.-reg.%292020-12-15T02:13Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-change-revise-series-26-examination-program2020-12-15T06:50Znever https://www.findknowdo.com/news/08/19/2015/finra-proposed-rule-change-would-require-publishing-otc-equity-volume-executed-outside-atss-%28fed.-reg.%292020-12-15T06:36Znever https://www.findknowdo.com/news/03/28/2014/finra-proposed-rule-regarding-disclosure-and-reporting-obligations-related-recruitment-practices-%28fed.-reg.%29-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/23/2014/finra-proposed-rule-relating-serving-electronically-written-decisions-members-seeking-relief-under-nasd-rule-1070-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-adopt-rule-4553-establish-fee-schedule-ats-volume-information-%28fed.-reg.%292020-12-15T05:15Znever https://www.findknowdo.com/news/03/11/2014/finra-proposed-rule-amend-finra-rules-2210-and-22142026-06-20T23:10Zmonthly https://www.findknowdo.com/news/05/06/2014/finra-proposed-rule-delay-implementation-date-trace-dissemination-asset-backed-securities-%28fed.-reg.%292020-12-15T05:53Znever https://www.findknowdo.com/news/10/03/2014/finra-proposed-rule-incorporate-nasd-rule-regarding-background-investigations-rulebook-%28fed.-reg.%292020-08-24T19:03Znever https://www.findknowdo.com/news/12/10/2012/finra-guidance-finras-suitability-rule-%28-lofchie-comment%292020-12-15T06:05Znever https://www.findknowdo.com/news/05/01/2013/finra-new-rate-fees-paid-under-section-31-exchange-act2020-08-06T23:07Znever https://www.findknowdo.com/news/02/04/2013/finra-proposed-rule-change-reporting-otc-equity-transactions2020-12-15T03:51Znever https://www.findknowdo.com/news/06/21/2013/finra-proposed-rule-change-relating-amendments-finra-rules-2360-and-4210-connection-occ-cleared-over-counter-options2020-12-15T05:06Znever https://www.findknowdo.com/news/02/04/2013/finra-proposed-rule-change-relating-approval-communications2020-12-15T03:18Znever https://www.findknowdo.com/news/09/26/2012/finra-proposed-rule-change-relating-trading-activity-fee-rate-transactions-security-futures2020-12-15T05:59Znever https://www.findknowdo.com/news/11/26/2012/finra-proposed-rule-change-relating-waiver-certain-trace-late-trade-reporting-fees-due-hurricane-sandy2020-12-15T02:49Znever https://www.findknowdo.com/news/01/30/2013/finra-proposed-rule-change-extend-effective-date-trading-pause-pilot2020-12-15T02:25Znever https://www.findknowdo.com/news/06/27/2013/finra-proposed-rule-change-revise-series-55-examination-program2020-12-15T06:58Znever https://www.findknowdo.com/news/06/03/2013/finra-sec-approves-amendments-arbitration-codes-revise-definition-public-arbitrator-%28-lofchie-comment%292020-12-03T01:46Znever https://www.findknowdo.com/news/08/14/2012/firms-elect-three-industry-governors-finra-board-governors2020-08-06T23:07Znever https://www.findknowdo.com/news/08/14/2014/firms-elect-two-industry-governors-and-finra-appoints-two-public-governors-board-governors2020-08-06T23:07Znever https://www.findknowdo.com/news/03/12/2015/firms-meet-cftc-discuss-comments-proposed-position-limits-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2014/firms-reach-agreement-ny-ag-stop-analyst-surveys-%28-lofchie-comment%292021-06-17T17:02Znever https://www.findknowdo.com/news/07/08/2015/first-circuit-invalidates-puerto-ricos-debt-enforcement-and-recovery-act2020-08-06T23:07Znever https://www.findknowdo.com/news/09/28/2012/first-ever-brazilian-futures-contract-%28bmfbovespa%29-begin-trading-sp-500-futures-contract2021-06-11T21:37Znever https://www.findknowdo.com/news/07/02/2012/first-resolution-plans-due-or-july-2-%28fdic-board-governors-federal-reserve-joint-press-release%292020-12-15T04:57Znever https://www.findknowdo.com/news/05/05/2015/flawed-math-student-loans-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/01/26/2011/fmlc-publishes-report-uncertainties-financial-collateral2020-08-24T19:59Znever https://www.findknowdo.com/news/01/26/2011/fmlc-responds-consultation-paper-legislation-legal-certainty-securities-holding-and-dispositions2020-08-24T19:59Znever https://www.findknowdo.com/news/04/14/2011/fmlc-letter-hm-treasury.-further-fmlc-submission-implementation-eu-directive-2009/44/ec-settlement-finality-and-financial-collateral-arrangements2020-08-06T23:07Znever https://www.findknowdo.com/news/11/04/2011/fmlc-report-analysis-legal-uncertainty-financial-services-authoritys-client-assets-sourcebook-and-arising-judicial-decisions-relating-administration-lbie2021-06-11T17:54Znever https://www.findknowdo.com/news/07/09/2013/foa-and-fia-announce-agreement-combine-organizations-under-one-global-structure2021-01-24T05:18Znever https://www.findknowdo.com/news/06/20/2013/foa-and-fia-merge-globally-%28-lofchie-comment%292020-12-15T03:37Znever https://www.findknowdo.com/news/09/21/2012/foa-provides-guidance-controls-electronic-trading-%28-lofchie-comment%292021-06-11T21:39Znever https://www.findknowdo.com/news/01/28/2011/fomc-statement2020-08-06T23:07Znever https://www.findknowdo.com/news/05/07/2015/forbes-contributing-writer-chris-clearfield-argues-regulations-create-risk-complex-markets2020-12-15T04:31Znever https://www.findknowdo.com/news/04/29/2013/foreign-financial-institutions-applying-qualified-intermediary-status-or-other-withholding-status-subject-new-fatca-registration-deadlines2021-06-14T13:22Znever https://www.findknowdo.com/news/08/28/2012/foreign-governments-comments-et-guidance2020-12-15T05:07Znever https://www.findknowdo.com/news/11/14/2012/foresight-report-impact-high-frequency-trading-market-integrity-empirical-examination-%28-lofchie-comment%292021-06-11T20:45Znever https://www.findknowdo.com/news/08/31/2012/foresight-working-paper-regulation-algo-trading2020-12-03T01:33Znever https://www.findknowdo.com/news/04/22/2013/former-teach-me-trade-saleswoman-taught-lesson-sec2020-08-06T23:07Znever https://www.findknowdo.com/news/04/25/2011/former-analyst-agrees-settle-insider-trading-charges2020-12-15T02:10Znever https://www.findknowdo.com/news/08/21/2014/former-cftc-commissioner-and-outspoken-critic-high-frequency-trading-bart-chilton-joins-high-frequency-trading-lobbying-group-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/21/2012/former-citigroup-global-markets-employee-found-not-liable-violations-related-class-v-funding-iii2020-08-06T23:07Znever https://www.findknowdo.com/news/10/31/2012/former-deloitte-partner-sentenced-21-months-insider-trading2020-12-15T05:13Znever https://www.findknowdo.com/news/07/23/2015/former-employees-settle-sec-charges-involving-unregistered-sales-penny-stocks2020-12-16T21:53Znever https://www.findknowdo.com/news/09/13/2012/former-hbos-director-sanctioned-fsa2020-12-15T05:14Znever https://www.findknowdo.com/news/02/22/2013/former-mercury-interactive-ceo/chairman-and-cfo-settle-suit-alleging-stock-options-backdating-and-other-misconduct2020-08-06T23:07Znever https://www.findknowdo.com/news/03/18/2013/former-mercury-interactive-general-counsel-settles-suit-alleging-stock-options-backdating-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/06/14/2013/former-mutual-fund-directors-agree-settle-claims-they-failed-properly-oversee-asset-valuation-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/02/21/2014/former-portfolio-manager-loses-appeal-insider-trading-cases-%28-bondi-comment%292020-12-15T04:38Znever https://www.findknowdo.com/news/07/10/2013/former-senator-blanche-lincoln-and-mercatus-scholar-hester-peirce-restraining-cftcs-global-reach-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/24/2014/former-senator-blanche-lincoln-voices-support-cftc-reauthorization-bill2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/26/2011/frank-accuses-gop-trying-defang-financial-regulators2020-12-15T04:52Znever https://www.findknowdo.com/news/08/23/2013/frb-adopts-final-rule-regarding-large-financial-companies-annual-assessment-fees-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/14/2015/frb-adopts-rule-risk-based-capital-surcharges-global-systemically-important-bank-holding-companies-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/07/2014/frb-allows-banking-entities-two-additional-one-year-extensions-conform-clo-ownerships-covered-volcker2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/20/2013/frb-and-cfpb-announce-increase-dollar-thresholds-regulation-z-and-regulation-m2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/18/2015/frb-and-fdic-announce-extension-resolution-plan-submission-three-financial-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/28/2015/frb-and-fdic-provide-additional-guidance-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/06/2014/frb-and-fdic-provide-feedback-second-round-orderly-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/28/2015/frb-and-fdic-provide-joint-feedback-non-banks-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/17/2014/frb-and-occ-announce-rules-reflect-isda-protocol-regulatory-capital-and-liquidity-coverage-ratio-rules2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/31/2015/frb-and-occ-permit-wells-fargo-use-advanced-approaches-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/28/2013/frb-and-occ-amendments-consent-orders-memorialize-9.3-billion-foreclosure-agreement2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/28/2013/frb-announcement-supervisory-stress-tests2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/13/2014/frb-announces-annual-indexing-used-determining-reserve-requirements-depository-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/26/2014/frb-announces-availability-data-systemic-risk-profiles-bank-holding-companies2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/13/2013/frb-announces-chairs-and-deputy-chairs-20142026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/18/2014/frb-announces-extension-conformance-period-under-volcker-rule-%28-foster-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/16/2015/frb-announces-new-community-advisory-council2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/06/2015/frb-announces-new-director-division-monetary-affairs2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/16/2015/frb-announces-proposal-requiring-banks-include-leis-certain-reporting-forms2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/30/2014/frb-announces-quantitative-impact-study-effect-its-revised-regulatory-capital-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/19/2015/frb-appoints-new-secretary-federal-open-markets-committee2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/18/2014/frb-approves-final-enhanced-prudential-standards-bank-holding-companies-and-foreign-banking-organizations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/18/2015/frb-approves-final-rule-amending-regulation-d2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/24/2013/frb-approves-final-rule-clarifying-treatment-uninsured-u.s.-branches-foreign-banks-under-lincoln2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/20/2015/frb-approves-final-rule-gsib-capital-surcharges2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/28/2014/frb-approves-final-rule-amend-capital-plan-and-stress-test-rules-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/04/2015/frb-chair-yellen-discusses-oversight-large-financial-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/26/2012/frb-delays-effectiveness-amendments-reg.-d-%28reserve-requirements-depository-institutions%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/20/2015/frb-establishes-enhanced-prudential-standards-gecc-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/26/2015/frb-extends-comment-period-proposed-rule-implement-capital-surcharges-largest-u.s.-bank-holding-companies2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/22/2013/frb-extends-comment-period-proposed-rule-implement-enhanced-prudential-standards-and-early-remediation-requirements2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/27/2013/frb-extends-comment-period-proposed-rule-implement-enhanced-prudential-standards-and-early-remediation-requirements-%28fed.-reg.-version%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/03/2013/frb-final-rule-definitions-predominantly-engaged-financial-activities-and-significant-nonbank-financial-company-and-bank-holding-company-%28pre-fed.-reg.-version%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/04/2013/frb-final-rule-retail-foreign-exchange-transactions-%28regulation-nn%29-%28pre-fed.-reg.-version%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/04/2014/frb-governor-brainard-discusses-agenda-promote-financial-stability2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/09/2015/frb-governor-brainard-highlights-structural-changes-five-year-anniversary-dodd-frank-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/11/2012/frb-governor-daniel-k.-tarullo-financial-stability-regulation-%28important-speech%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/09/2012/frb-governor-elizabeth-a.-duke-says-dodd-frank-imposes-too-heavy-a-burden-community-banks-engaged-mortgage-lending2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/06/2014/frb-governor-powell-discusses-expanding-central-clearing-otc-derivatives2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/05/2014/frb-governor-powell-discusses-reforming-u.s.-dollar-libor-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/20/2015/frb-governor-powell-discusses-fair-and-effective-markets-review-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/05/14/2015/frb-governor-powell-discusses-regulation-and-supervision-community-banks2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/09/2015/frb-governor-powell-speaks-against-proposals-limit-feds-independence2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/06/2013/frb-governor-raskin-case-timely-implementation-revised-capital-rules2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/04/2013/frb-governor-steins-speech-frb-fire-sales-securities-financing-markets-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/18/2013/frb-governor-tarullo-delivers-speech-regarding-resolution-regimes2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/20/2014/frb-governor-tarullo-discusses-liquidity-regulation-and-supervision2026-04-15T21:17Zyearly https://www.findknowdo.com/news/05/08/2013/frb-governor-tarullo-remarks-evaluating-progress-regulatory-reforms-promote-financial-stability2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/20/2014/frb-governor-tarullo-remarks-quality-compliance-incentives-and-role-government-discouraging-bad-actors-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/09/2014/frb-issues-answers-faqs-regarding-competitive-review-process2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/07/2013/frb-issues-final-policy-statement-scenario-design-framework-stress-testing2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/05/2013/frb-issues-final-regulation-hh-rule-financial-market-utilities2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/28/2014/frb-issues-final-rule-amending-regulation-hh-revises-policy-payment-system-risk2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/06/2013/frb-issues-final-rule-changes-order-align-basel-iii-capital-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/16/2013/frb-issues-final-rule-establishing-large-financial-companies-annual-assessment-fees2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/05/2014/frb-issues-final-rule-regarding-concentration-limits-large-financial-companies2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/09/2015/frb-issues-final-rule-expand-applicability-small-bank-holding-company-policy-statement2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/17/2014/frb-issues-final-rule-modify-capital-planning-and-stress-testing-regulations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/20/2013/frb-issues-guidance-consolidated-supervision-framework-large-financial-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/16/2014/frb-issues-revision-policy-payment-system-risk-and-requests-comment-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/24/2014/frb-issues-study-domestic-payments2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/24/2013/frb-issues-two-interim-final-rules-regarding-basel-iii-regulatory-capital-reforms-incorporation2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/19/2015/frb-member-powell-discusses-financial-stability-reform-and-credit-markets2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/06/2014/frb-names-eric-belsky-director-division-consumer-and-community-affairs2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/01/2012/frb-order-sumitomo-mitsui-financial-group-and-sumitomo-mitsui-banking-corporation2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/15/2013/frb-proposed-rule-assessing-big-banks-supervision2026-04-15T21:17Zyearly https://www.findknowdo.com/news/05/21/2015/frb-proposes-amendments-lcr-expanding-hqla-include-state-and-municipal-obligations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/25/2014/frb-proposes-enhanced-prudential-standards-general-electric-capital-corporation-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/17/2015/frb-proposes-rule-change-capital-planning-and-stress-test-rules2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/30/2015/frb-proposes-rule-expand-applicability-small-bank-holding-company-policy-statement2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/09/2014/frb-proposes-rules-increase-capital-positions-largest-u.s.-bank-holding-companies-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/13/2014/frb-proposes-modify-regulations-capital-planning-and-stress-testing2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/24/2014/frb-provides-additional-information-large-bank-holding-companies-resolution-planning-and-recovery-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/05/2013/frb-provides-lincoln-%28push-out%29-relief-u.s.-branches-non-u.s.-banks-%28regulation-kk%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/20/2013/frb-publishes-correction-final-rule-regarding-regulatory-capital-rules-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/18/2014/frb-publishes-report-2013-debit-card-transactions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/20/2012/frb-regulatory-reform-event-communications-public2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/17/2015/frb-releases-additional-information-regarding-liscc-supervisory-program2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/01/2015/frb-releases-first-determination-aggregate-consolidated-liabilities-all-financial-companies2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/24/2014/frb-releases-first-semiannual-report-banking-applications-activity2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/05/2013/frb-releases-guidance-managing-outsourcing-risk-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/16/2012/frb-releases-market-scenarios-large-financial-institutions-stress-tests2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/14/2012/frb-releases-proposed-rules-strengthen-oversight-u.s.-operations-foreign-banks2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/11/2015/frb-releases-results-comprehensive-capital-analysis-and-review2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/30/2015/frb-releases-semiannual-report-banking-applications-activity2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/10/2014/frb-requests-comment-proposed-revisions-regulation-hh2026-04-15T21:17Zyearly https://www.findknowdo.com/news/05/09/2014/frb-requests-comment-proposed-rulemaking-implement-section-622-dodd-frank2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/12/2014/frb-requests-comments-proposals-amend-and-repeal-certain-regulations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/13/2015/frb-requests-comments-proposed-amendments-regulation-d2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/23/2013/frb-solicits-comments-proposed-amendments-reg.-a2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/01/14/2014/frb-solicits-comments-regarding-activities-financial-holding-companies-related-physical-commodities2026-04-15T21:17Zyearly https://www.findknowdo.com/news/05/13/2014/frb-staff-working-paper-high-frequency-trading-%28hft%29-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/19/2014/frb-updates-consumer-compliance-handbook2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/27/2015/frb-vice-chair-fischer-discusses-non-bank-financial-sector-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/03/2013/frb-vice-chair-janet-l.-yellen-delivers-speech-international-monetary-conference-regulatory-landscapes-a-u.s.-perspective2026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/08/2014/frb-fdic-and-occ-adopt-final-rule-strengthen-leverage-ratio-standards-large-banks2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/09/2013/frb-fdic-and-occ-issue-notice-proposed-rulemaking-supplementary-leverage-ratio-g-sibs2026-04-15T21:17Zyearly https://www.findknowdo.com/news/10/23/2014/frb-fdic-and-occ-release-supervisory-scenarios-be-used-2015-capital-planning-and-stress-testing-program2026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/27/2012/frb-fdic-and-occ-changes-implementation-timeline-dodd-frank-company-run-stress-test-requirements-are-now-under-consideration2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/14/2013/frb-occ-fdic-cfpb-and-treasury-testify-senate-banking-committee2020-12-15T06:36Znever https://www.findknowdo.com/news/08/06/2012/frb-testimony-tri-party-repo-market-senate-subcommittee-securities-insurance-and-investment2020-12-15T06:05Znever https://www.findknowdo.com/news/01/21/2015/frbny-executive-vice-president-baxter-discusses-ethical-culture-financial-services-firms-%28-lofchie-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/28/2012/frbny-executive-vice-president-potter-remarks-role-central-bank-interactions-particularly-crisis-%28no-immediate-regulatory-impact-really-intellectually-interesting%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/28/2012/freddie-mac-wins-dismissal-federal-securities-lawsuit2021-06-11T21:34Znever https://www.findknowdo.com/news/05/02/2013/freedom-exchanges-set-market-data-fees-we-arent-done-yet2020-08-24T19:43Znever https://www.findknowdo.com/news/08/22/2012/fsa-report-assessing-possible-sources-systemic-risk-hedge-funds2021-01-24T05:23Znever https://www.findknowdo.com/news/04/13/2011/fsa-finalised-guidance-reverse-stress-testing-faqs2020-08-15T00:15Znever https://www.findknowdo.com/news/03/04/2011/fsa-voluntary-variation-permission-welcome-financial-services-limited2020-08-06T23:07Znever https://www.findknowdo.com/news/11/03/2011/fsa-analyses-implementation-crd-iv2020-08-06T23:07Znever https://www.findknowdo.com/news/06/06/2012/fsa-and-bank-england-set-out-views-designation-investment-firms2020-08-06T23:07Znever https://www.findknowdo.com/news/12/22/2010/fsa-and-hm-treasury-publish-joint-consultation-paper-implementation-ucits-iv-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/10/19/2012/fsa-authorizations-adopt-twin-peaks-structure2020-08-06T23:07Znever https://www.findknowdo.com/news/06/06/2012/fsa-bans-hedge-fund-manager-and-fines-him-ps3-million2020-08-06T23:07Znever https://www.findknowdo.com/news/10/01/2012/fsa-bans-trader-who-poses-market-risk-under-certain-circumstances2020-12-15T05:22Znever https://www.findknowdo.com/news/09/07/2012/fsa-consultation-paper-client-asset-protection2020-08-24T19:53Znever https://www.findknowdo.com/news/11/14/2012/fsa-consults-aifmd-implementation2020-08-24T19:46Znever https://www.findknowdo.com/news/10/05/2012/fsa-consults-improvements-listing-regime2020-12-03T11:19Znever https://www.findknowdo.com/news/10/05/2012/fsa-consults-new-regime-approved-persons2020-08-24T19:53Znever https://www.findknowdo.com/news/09/12/2012/fsa-consults-non-eea-national-depositor-preference-schemes2020-12-15T06:27Znever https://www.findknowdo.com/news/09/01/2011/fsa-decision-notice-swift-trade2020-08-06T23:07Znever https://www.findknowdo.com/news/03/08/2012/fsa-enforcement-chief-reflects-2011-and-role-new-fca2020-12-15T06:55Znever https://www.findknowdo.com/news/08/09/2011/fsa-finalised-guidance-%28fg11/11%29-remuneration-code-%28sysc-19a%292020-12-15T03:01Znever https://www.findknowdo.com/news/03/16/2011/fsa-fines-activtrades-plc-ps85750-client-money-failings2020-08-06T23:07Znever https://www.findknowdo.com/news/01/18/2011/fsa-fines-barclays-ps7.7-million-investment-advice-failings2020-08-24T20:06Znever https://www.findknowdo.com/news/10/22/2012/fsa-fines-bos-ps4.2-million-recordkeeping-violations2020-12-15T03:16Znever https://www.findknowdo.com/news/11/03/2011/fsa-fines-credit-suisse-uk-ps5.95-million-systems-and-control-failings2020-08-06T23:07Znever https://www.findknowdo.com/news/02/13/2012/fsa-fines-david-einhorn-and-greenlight-capital-inc.-ps7.2m-trading-inside-information2020-08-06T23:07Znever https://www.findknowdo.com/news/11/29/2011/fsa-fines-dubai-based-investor-us-9.6-million-market-abuse2020-08-06T23:07Znever https://www.findknowdo.com/news/02/14/2013/fsa-fines-firm-failings-sale-aig-fund2020-08-06T23:07Znever https://www.findknowdo.com/news/01/13/2011/fsa-fines-former-analyst-ps50000-disclosing-misleading-information2020-08-24T20:06Znever https://www.findknowdo.com/news/02/13/2012/fsa-fines-former-compliance-officer-greenlight-capital-and-trading-desk-director-jp-morgan-insider-trading2020-12-15T06:42Znever https://www.findknowdo.com/news/04/24/2012/fsa-fines-jp-morgan-cazenove-chairman-ps450000-market-abuse2020-08-06T23:07Znever https://www.findknowdo.com/news/04/19/2011/fsa-fines-np-ps1.4-million-and-agrees-ps50-million-customers-and-fscs2020-08-24T19:59Znever https://www.findknowdo.com/news/08/18/2011/fsa-fines-sir-ken-morrison-ps210000-disclosure-and-transparency-rules-failings2020-08-06T23:07Znever https://www.findknowdo.com/news/08/09/2011/fsa-guidance-consultation-%28gc11/9%29-proposed-dear-ceo-letters-providing-guidance-issues-relating-remuneration2020-12-15T06:02Znever https://www.findknowdo.com/news/07/26/2011/fsa-guidance-consultation-liquidity-swaps-%28gc11/18%292020-12-15T02:10Znever https://www.findknowdo.com/news/01/16/2013/fsa-investigates-j.p.-morgan-london-trading-losses2020-12-15T06:48Znever https://www.findknowdo.com/news/07/26/2011/fsa-issues-consultation-paper-auctioning-greenhouse-gas-emission-allowances2020-08-06T23:07Znever https://www.findknowdo.com/news/09/13/2012/fsa-issues-first-consultation-handbook-changes-resulting-uk-regulatory-reform2020-08-06T23:07Znever https://www.findknowdo.com/news/06/06/2012/fsa-issues-guidance-transaction-reporting-strategy-trades2020-08-06T23:07Znever https://www.findknowdo.com/news/11/02/2012/fsa-issues-statement-changes-handbook-following-entry-force-short-selling-regulation2020-08-06T23:07Znever https://www.findknowdo.com/news/08/05/2012/fsa-issues-statement-delay-crd-iv-implementation2020-12-15T06:43Znever https://www.findknowdo.com/news/06/06/2012/fsa-loses-ubs-supervision-test-case2020-08-06T23:07Znever https://www.findknowdo.com/news/09/02/2011/fsa-obtains-injunction-against-market-manipulation2020-08-24T19:59Znever https://www.findknowdo.com/news/10/31/2012/fsa-opens-consultation-changes-fees-light-new-regulatory-structure2020-08-24T19:46Znever https://www.findknowdo.com/news/06/06/2012/fsa-opens-consultation-redress-scheme-arch-cru-investors2020-08-06T23:07Znever https://www.findknowdo.com/news/02/28/2013/fsa-places-temporary-ban-short-selling-four-italian-stocks2020-08-06T23:07Znever https://www.findknowdo.com/news/11/03/2011/fsa-proposes-revision-guidance-remuneration-principles-proportionality-rule2020-08-06T23:07Znever https://www.findknowdo.com/news/11/04/2011/fsa-provides-feedback-regulated-covered-bond-programmes2020-08-06T23:07Znever https://www.findknowdo.com/news/02/13/2012/fsa-publishes-changes-client-assets-sourcebook-custody-liens2020-08-06T23:07Znever https://www.findknowdo.com/news/02/13/2012/fsa-publishes-consultation-paper-large-exposures-regime2020-08-06T23:07Znever https://www.findknowdo.com/news/04/24/2012/fsa-publishes-faqs-mf-global-investors2020-08-06T23:07Znever https://www.findknowdo.com/news/03/08/2012/fsa-publishes-finalised-guidance-collateral-upgrade-transactions2020-08-06T23:07Znever https://www.findknowdo.com/news/03/08/2012/fsa-publishes-finalised-guidance-distributor-influenced-funds2020-08-06T23:07Znever https://www.findknowdo.com/news/02/28/2013/fsa-publishes-guidance-notifications-and-exemptions-under-emir2020-12-15T03:44Znever https://www.findknowdo.com/news/02/09/2011/fsa-publishes-guidance-transition-new-regulatory-structure2020-12-15T03:14Znever https://www.findknowdo.com/news/11/08/2012/fsa-publishes-new-web-pages-short-selling-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/06/06/2012/fsa-publishes-new-webpage-solvency-ii-qas2020-12-03T16:22Znever https://www.findknowdo.com/news/03/23/2011/fsa-publishes-newsletter-market-conduct-and-transaction-reporting-issues2020-08-06T23:07Znever https://www.findknowdo.com/news/03/13/2013/fsa-publishes-survey-alternative-investment-funds2021-01-24T05:23Znever https://www.findknowdo.com/news/07/06/2011/fsa-publishes-ucits-iv-directive-instrument-20112021-06-11T18:30Znever https://www.findknowdo.com/news/01/09/2012/fsa-publishes-updated-guidance-implementation-payment-services-regulations-20092020-08-06T23:07Znever https://www.findknowdo.com/news/06/27/2012/fsa-raps-kaupthing-subsidiary-over-liquidity-failings2020-08-16T00:24Znever https://www.findknowdo.com/news/02/13/2012/fsa-releases-discussion-paper-aifmd-implementation2020-08-06T23:07Znever https://www.findknowdo.com/news/07/13/2011/fsa-reviews-credit-risk-management-central-counterparties2020-08-06T23:07Znever https://www.findknowdo.com/news/03/22/2011/fsa-says-cftcs-clearinghouse-proposal-could-increase-risk2024-01-31T02:37Znever https://www.findknowdo.com/news/11/01/2012/fsa-sets-out-procedure-short-selling-notifications-and-disclosures2020-08-06T23:07Znever https://www.findknowdo.com/news/04/15/2011/fsa-takes-action-against-two-firms-ifas-over-promotion-complex-investment-products2020-08-06T23:07Znever https://www.findknowdo.com/news/09/20/2012/fsa-host-regulatory-switchover-briefings2020-08-06T23:07Znever https://www.findknowdo.com/news/02/28/2013/fsa-host-seminar-reporting-trade-repositories-under-emir2020-08-24T19:43Znever https://www.findknowdo.com/news/08/05/2012/fsa-publish-detail-fca2022-11-09T18:36Znever https://www.findknowdo.com/news/09/17/2012/fsa-start-work-hbos-report2020-12-15T03:04Znever https://www.findknowdo.com/news/12/17/2012/fsa-updates-client-assets-regime-reflect-emir2020-08-06T23:07Znever https://www.findknowdo.com/news/02/28/2013/fsa-updates-firms-transition-pra2020-12-15T03:36Znever https://www.findknowdo.com/news/02/13/2012/fsa-updates-reviews-counterparty-credit-risk-management-central-counterparties2020-08-06T23:07Znever https://www.findknowdo.com/news/09/21/2012/fsa-writes-firms-prudential-regulatory-authority-transition2020-08-06T23:07Znever https://www.findknowdo.com/news/08/02/2011/fsa-consultation-paper-client-assets-sourcebook-%28cp11/15%292020-08-06T23:07Znever https://www.findknowdo.com/news/04/01/2011/fsa-consultation-paper-use-non-eea-rules-calculating-group-capital-requirements2020-08-06T23:07Znever https://www.findknowdo.com/news/04/06/2011/fsa-dear-ceo-letter-update-transition-new-regulatory-structure2020-08-06T23:07Znever https://www.findknowdo.com/news/07/18/2011/fsa-feedback-statement-prudential-regime-trading-activities2020-08-06T23:07Znever https://www.findknowdo.com/news/04/01/2012/fsa-finalised-guidance-%28fg12/11%292020-08-06T23:07Znever https://www.findknowdo.com/news/11/29/2011/fsa-finalised-guidance-enhancing-frameworks-standardised-approach-operational-risk2020-12-15T05:51Znever https://www.findknowdo.com/news/03/23/2011/fsa-finalised-guidance-assessing-suitability-establishing-risk-customer-willing-and-able-take-and-making-suitable-investment-selection2020-08-06T23:07Znever https://www.findknowdo.com/news/03/31/2011/fsa-finalised-guidance-dear-ceo-letter-adequacy-year-end-reserving2020-08-06T23:07Znever https://www.findknowdo.com/news/03/03/2011/fsa-finalised-guidance-governance-retail-firms-feedback-winter-2010-seminars2020-08-06T23:07Znever https://www.findknowdo.com/news/02/13/2012/fsa-fsa-statement-relating-commencement-enforcement-action-against-ubs-ag2020-12-15T02:20Znever https://www.findknowdo.com/news/03/02/2011/fsa-gender-directive-court-ruling-equal-treatment-men-and-women-insurance-purposes2020-08-06T23:07Znever https://www.findknowdo.com/news/01/11/2011/fsa-guidance-consultation-proposed-guidance-assessing-suitability-establishing-risk-customer-willing-and-able-take-and-making-suitable-investment-selection2020-08-24T19:59Znever https://www.findknowdo.com/news/05/05/2011/fsa-handbook-development-newsletter-issue-1342020-12-15T04:56Znever https://www.findknowdo.com/news/03/28/2011/fsa-implementation-new-significant-influence-controlled-functions-%28sifs%29-deferred2020-08-06T23:07Znever https://www.findknowdo.com/news/03/18/2011/fsa-prudential-risk-outlook2020-08-06T23:07Znever https://www.findknowdo.com/news/05/12/2011/fsa-strengthening-capital-standards-3-further-consultation-crd32020-08-06T23:07Znever https://www.findknowdo.com/news/05/13/2011/fsa-two-fsa-decision-notices-referred-tribunal2020-12-15T03:45Znever https://www.findknowdo.com/news/03/05/2015/fsb-and-iosco-propose-assessment-methodologies-identifying-non-bank-non-insurer-g-sifis2020-12-15T04:18Znever https://www.findknowdo.com/news/11/02/2012/fsb-issues-fourth-progress-report-otc-derivatives-reform-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/02/08/2011/fsb-letter-g20-leaders-reporting-progress-financial-regulatory-reforms2020-08-06T23:07Znever https://www.findknowdo.com/news/11/05/2012/fsb-provides-progress-update-sifi-framework-%28-lofchie-comment%292020-12-15T04:34Znever https://www.findknowdo.com/news/10/17/2014/fsb-publishes-guidance-resolution-non-bank-financial-institutions-and-systemically-important-insurers-%28-lofchie-comment%292021-06-11T17:55Znever https://www.findknowdo.com/news/11/19/2012/fsb-publishes-initial-recommendations-strengthen-oversight-and-regulation-shadow-banking2021-01-24T01:53Znever https://www.findknowdo.com/news/06/06/2012/fsb-publishes-interim-report-securities-lending-and-repos2020-08-06T23:07Znever https://www.findknowdo.com/news/11/03/2011/fsb-publishes-recommendations-shadow-banking2021-01-24T01:53Znever https://www.findknowdo.com/news/10/14/2014/fsb-publishes-regulatory-framework-haircuts-securities-financing-transactions-%28-lofchie-comment%292021-06-11T19:47Znever https://www.findknowdo.com/news/04/14/2014/fsb-releases-progress-report-otc-derivatives-reforms2020-12-15T03:15Znever https://www.findknowdo.com/news/10/01/2014/fsb-releases-report-fx-rate-benchmarks-iosco-reviews-implementation-foreign-exchange-benchmark2021-06-23T01:26Znever https://www.findknowdo.com/news/11/06/2012/fsb-seeks-views-recovery-and-resolution-planning2020-12-15T04:30Znever https://www.findknowdo.com/news/07/31/2015/fsb-go-slow-risk-analysis-investment-funds-sifma-amg-applauds-decision-%28-lofchie-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/11/03/2011/fsb-imf-and-bis-issue-progess-report-g20-macroprudential-policy-tools-and-frameworks2020-08-06T23:07Znever https://www.findknowdo.com/news/03/07/2011/fsb/bis/imf-report-macroprudential-policy-tools-and-frameworks-update-g20-finance-ministers-and-central-bank-governors2020-08-06T23:07Znever https://www.findknowdo.com/news/07/18/2011/fsb-implementation-progress-report-financial-crisis-and-information-gaps2021-06-11T18:25Znever https://www.findknowdo.com/news/07/23/2015/fsc-chair-hensarling-warns-regulators-against-overreliance-complex-financial-modeling2020-12-15T04:04Znever https://www.findknowdo.com/news/07/19/2012/fsoc-2012-annual-report-and-designation-financial-market-utilities-%28dodd-frank-study%292024-01-31T02:37Znever https://www.findknowdo.com/news/07/20/2012/fsoc-adopts-rule-procedures-designating-sifis-%28pre-fed.-reg.-version%292020-12-15T06:44Znever https://www.findknowdo.com/news/09/14/2012/fsoc-and-ofr-should-strengthen-accountability-and-transparency-their-decisions-%28gao-report%292022-07-27T19:43Znever https://www.findknowdo.com/news/02/05/2015/fsoc-announces-changes-non-bank-designation-process-extends-asset-management-comment-period-%28-lofchie-comment%292020-12-15T05:16Znever https://www.findknowdo.com/news/09/02/2014/fsoc-announces-council-meeting2020-12-15T06:58Znever https://www.findknowdo.com/news/09/20/2013/fsoc-announces-designation-prudential-systemically-significant-non-bank-financial-company-%28-lofchie-comment-and-youtube-video%292020-12-15T03:02Znever https://www.findknowdo.com/news/07/10/2013/fsoc-designates-aig-and-ge-capital-systemically-significant-%28-lofchie-comment%292020-12-15T05:45Znever https://www.findknowdo.com/news/07/22/2015/fsoc-discusses-non-bank-financial-company-designation-process-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T03:23Znever https://www.findknowdo.com/news/12/09/2013/fsoc-holds-open-meeting-regarding-cybersecurity-and-financial-market-developments-%28-delta-strategy-group-summary%292021-03-20T16:46Znever https://www.findknowdo.com/news/05/08/2014/fsoc-issues-2014-annual-report-%28-lofchie-comment%292020-12-15T03:57Znever https://www.findknowdo.com/news/06/08/2015/fsoc-issues-staff-guidance-regarding-methodology-determinations-stage-1-thresholds-%28-lofchie-comment%292020-12-15T03:40Znever https://www.findknowdo.com/news/09/04/2014/fsoc-proposes-preliminary-designation-metlife-non-bank-systematically-important-financial-institution-%28-lofchie-comment%292020-12-24T15:02Znever https://www.findknowdo.com/news/05/20/2014/fsoc-public-conference-asset-management-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T04:14Znever https://www.findknowdo.com/news/11/19/2012/fsoc-recommendations-money-market-funds-%28fed.-reg.-version%29-%28-lofchie-comment%292021-01-24T02:28Znever https://www.findknowdo.com/news/11/13/2012/fsoc-recommendations-money-market-funds-%28important-recommendations%29-%28-lofchie-comment%292021-01-24T01:53Znever https://www.findknowdo.com/news/05/19/2015/fsoc-releases-2015-annual-report-%28-lofchie-comment%292020-12-15T06:55Znever https://www.findknowdo.com/news/02/01/2013/fsoc-releases-meeting-minutes-and-webcasts-past-council-meetings2020-12-15T06:56Znever https://www.findknowdo.com/news/09/26/2014/fsoc-releases-qa-nonbank-financial-company-designations-%28-lofchie-comment%292020-12-15T03:01Znever https://www.findknowdo.com/news/04/26/2013/fsoc-releases-third-annual-report-financial-stability-%28-lofchie-comment%292020-12-15T04:57Znever https://www.findknowdo.com/news/01/08/2015/fsoc-requests-comments-proposal-involving-qfc-recordkeeping-related-orderly-liquidation-authority-%28fed.-reg.%292020-12-15T04:43Znever https://www.findknowdo.com/news/01/30/2015/fsoc-requests-information-asset-management-industry-%28-lofchie-comment%292021-01-24T05:18Znever https://www.findknowdo.com/news/12/18/2014/fsoc-seeks-comment-notice-about-risk-u.s.-financial-stability-caused-asset-management-products-and-activities-%28-lofchie-comment%292021-01-24T05:24Znever https://www.findknowdo.com/news/01/26/2011/fsoc-study-recommendations-prohibitions-proprietary-trading-certain-relationships-hedge-funds-private-equity-funds2021-02-01T19:37Znever https://www.findknowdo.com/news/01/22/2015/fsoc-change-sifi-designation-process-%28-lofchie-comment%292020-12-15T04:32Znever https://www.findknowdo.com/news/07/24/2015/fsoc-meet-open-executive-session2020-12-15T04:13Znever https://www.findknowdo.com/news/11/13/2014/fsoc-updates-faq-non-bank-financial-company-designations-process-%28-lofchie-comment%292020-12-15T05:09Znever https://www.findknowdo.com/news/12/18/2014/fsoc-votes-designate-metlife-non-bank-systemically-important-financial-institution2020-12-15T04:49Znever https://www.findknowdo.com/news/12/20/2010/funding-boosts-sec-cftc-doubt2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/13/2012/further-definition-swap-security-based-swap-and-security-based-swap-agreement-mixed-swaps-security-based-swap-agreement-recordkeeping-joint-final-rule-%28cftc/sec-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/21/2010/further-definition-swap-dealer-security-based-swap-dealer-major-swap-participant-major-security-based-swap-participant-and-eligible-contract-participant2021-02-01T19:55Znever https://www.findknowdo.com/news/05/23/2012/further-definition-swap-dealer-security-based-swap-dealer-major-swap-participant-major-security-based-swap-participant-and-eligible-contract-participant-%28cftc/sec%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2012/further-definition-swap-dealer-security-based-swap-dealer-major-swap-participant-major-security-based-swap-participant-and-eligible-contract-participant-correction2021-02-01T19:55Znever https://www.findknowdo.com/news/07/13/2012/further-definition-swap-security-based-swap-and-security-based-swap-%28cftc/sec-joint-final-rule-and-interpretations-request-comment%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/08/2013/further-proposed-guidance-regarding-compliance-certain-swap-regulations-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/15/2013/futures-industry-releases-futures-insurance-study2020-12-15T03:07Znever https://www.findknowdo.com/news/07/18/2012/futures-industry-sro-committee-announces-additional-initiatives-strengthen-safeguards-customer-segregated-funds2021-06-16T14:30Znever https://www.findknowdo.com/news/01/10/2011/futures-lab-commodity-rulemaking-who-will-be-affected-proposals-under-consideration2020-12-15T03:53Znever https://www.findknowdo.com/news/07/23/2015/fy-2016-funding-bill-covering-sec-cftc-and-cfpb-passes-senate-appropriations-committee2020-12-15T03:57Znever https://www.findknowdo.com/news/10/13/2014/g-18-banks-agree-sign-isda-resolution-stay-protocol2020-12-15T03:22Znever https://www.findknowdo.com/news/03/14/2013/gao-finds-fsoc-and-ofr-be-well-intentioned-%28-two-lofchie-comments%292022-07-27T19:43Znever https://www.findknowdo.com/news/03/19/2015/gao-issues-report-examining-legislative-proposals-and-international-coordination-regarding-bankruptcies-large-financial-institutions-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/07/18/2013/gao-issues-report-criteria-qualifying-accredited-investor-%28-lofchie-comment%292020-12-15T06:30Znever https://www.findknowdo.com/news/09/17/2014/gao-issues-report-fsoc-%28-lofchie-comment%292020-12-15T04:38Znever https://www.findknowdo.com/news/07/31/2014/gao-issues-report-large-bank-holding-companies-and-expectations-government-support-%28-lofchie-comment-and-youtube-selection%292020-12-15T05:20Znever https://www.findknowdo.com/news/07/18/2013/gao-issues-report-sec-conflicts-minerals-rule2020-12-15T05:54Znever https://www.findknowdo.com/news/11/17/2014/gao-issues-report-sec-financial-statements-fy-2013-and-20142021-06-23T20:55Znever https://www.findknowdo.com/news/07/30/2015/gao-issues-report-outlining-control-deficiencies-treasury-and-omb-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/04/09/2015/gao-issues-report-regarding-fdic-implementation-information-security-controls-over-financial-systems2020-12-15T03:27Znever https://www.findknowdo.com/news/08/18/2015/gao-issues-report-regarding-secs-conflict-minerals-rule-%28-lofchie-comment%292020-12-15T02:48Znever https://www.findknowdo.com/news/07/08/2015/gao-issues-report-reiterating-need-strong-cybersecurity-controls-across-federal-agencies2021-03-20T16:47Znever https://www.findknowdo.com/news/11/20/2014/gao-recommends-further-fsoc-action-improve-designation-process-non-bank-sifis-%28-lofchie-comment%292020-12-15T06:54Znever https://www.findknowdo.com/news/04/05/2013/gao-releases-report-improvements-needed-secs-internal-controls2020-12-15T04:37Znever https://www.findknowdo.com/news/06/01/2015/gao-report-concludes-irs-needs-enhance-internal-control-over-financial-reporting-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/01/12/2015/gao-report-examines-approach-dhs-addressing-cyber-risks-building-and-access-control-systems-%28-lofchie-comment%292021-03-20T16:47Znever https://www.findknowdo.com/news/11/15/2013/gao-report-examines-government-support-bank-holding-companies-%28-lofchie-comment%292026-06-19T18:57Zmonthly https://www.findknowdo.com/news/12/19/2014/gao-report-examines-regulatory-analyses-and-coordination-efforts-conducted-federal-financial-regulators-%28-lofchie-comment%292020-12-15T04:01Znever https://www.findknowdo.com/news/06/24/2015/gao-report-finds-need-strong-cybersecurity-controls-across-federal-agencies-%28-lofchie-comment%292021-03-20T16:46Znever https://www.findknowdo.com/news/05/12/2014/gao-report-finds-sec-needs-improve-internal-controls-and-accounting-procedures2020-08-24T19:23Znever https://www.findknowdo.com/news/12/24/2012/gao-report-agencies-efforts-analyze-and-coordinate-their-rules-%28-lofchie-comment%292020-12-15T05:58Znever https://www.findknowdo.com/news/04/04/2013/gao-report-stop-trading-congressional-knowledge-act-20122020-12-15T03:35Znever https://www.findknowdo.com/news/07/29/2013/gao-report-impacts-financial-crisis-insurance-industry2020-08-06T23:07Znever https://www.findknowdo.com/news/06/26/2015/gao-report-proposes-framework-monitoring-financial-emerging-risks-and-regulatory-responses-%28-lofchie-comment%292020-12-15T06:02Znever https://www.findknowdo.com/news/12/11/2013/gao-report-says-agencies-would-benefit-additional-guidance-major-dodd-frank-rulemaking-%28-lofchie-comment%292020-12-15T02:26Znever https://www.findknowdo.com/news/04/05/2013/gao-report-says-labor-and-irs-could-improve-rollover-process-participants2020-08-06T23:07Znever https://www.findknowdo.com/news/02/28/2014/gao-report-cftc-not-required-perform-cost-benefit-analysis-its-volcker-rule-regulations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/18/2013/gao-report-continued-management-attention-sec-would-strengthen-internal-supervisory-controls2020-08-24T19:43Znever https://www.findknowdo.com/news/02/14/2013/gao-report-financial-crisis-losses-and-potential-impact-dodd-frank-act-%28-%28i%29-lofchie-comment-and-%28ii%29-gao-excerpts%292020-12-15T03:44Znever https://www.findknowdo.com/news/04/17/2013/gao-report-foreclosure-review2020-08-06T23:07Znever https://www.findknowdo.com/news/05/22/2013/gao-report-opportunities-reduce-fragmentation-overlap-and-duplication-through-enhanced-performance-management-and-oversight2020-08-06T23:07Znever https://www.findknowdo.com/news/04/17/2014/gao-report-sec-needs-improve-controls-over-financial-systems-and-data2020-12-15T05:18Znever https://www.findknowdo.com/news/07/08/2013/gao-report-sec-should-consider-requiring-companies-disclose-auditor-attestation2020-08-06T23:07Znever https://www.findknowdo.com/news/12/17/2013/gao-report-secs-fiscal-years-2013-and-2012-financial-statements-and-internal-controls2020-08-06T23:07Znever https://www.findknowdo.com/news/04/09/2013/gao-reports-reducing-fragmentation-overlap-and-duplication-and-achieving-other-financial-benefits-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/07/08/2013/gao-study-examines-costs-sec-rules-governing-custody-client-assets-investment-advisers-%28-lofchie-comment%292022-01-02T17:02Znever https://www.findknowdo.com/news/01/08/2014/gao-testimony-government-support-large-bhcs-%28-comment-delta-strategy-group%292020-12-15T05:07Znever https://www.findknowdo.com/news/01/11/2011/gay-huey-evans-appointed-vice-chairman-board-and-non-executive-chairman-europe-isda2020-08-06T23:07Znever https://www.findknowdo.com/news/01/10/2013/geithner-out-jack-lew-nominated2020-08-24T19:46Znever https://www.findknowdo.com/news/11/01/2012/gensler-repeats-prior-speech-more-or-less-fia-expo2020-08-24T19:46Znever https://www.findknowdo.com/news/02/11/2011/gensler-says-cftc-doesnt-have-budget-enforce-dodd-frank2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/07/2011/gensler-says-cftc-may-stagger-start-dates-swap-market-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/18/2013/gensler-speaks-making-lists-and-regulatory-philosophy-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/10/31/2012/gensler-speaks-swaps-market-reform-and-cross-border-swaps-rules-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/09/02/2011/gensler-cftc-eager-clean-swap-market-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/09/2013/geoffrey-aronow-named-chief-counsel-and-senior-policy-advisor-oia2020-08-06T23:07Znever https://www.findknowdo.com/news/05/01/2012/george-canellos-named-deputy-director-sec-enforcement-division-%28sec-press-release%292020-08-06T23:07Znever https://www.findknowdo.com/news/08/11/2015/george-washington-university-professor-considers-cumulative-effects-regulation2020-08-24T18:15Znever https://www.findknowdo.com/news/05/31/2013/german-iga-under-fatca-published2020-08-24T19:43Znever https://www.findknowdo.com/news/11/28/2012/germany-bafin-describes-planned-regulation-hfts2021-06-11T20:43Znever https://www.findknowdo.com/news/01/08/2013/gibbons-v.-malone-second-circuit-holds-short-swing-profit-rule-not-applicable-separate-share-classes2020-08-24T19:46Znever https://www.findknowdo.com/news/05/12/2014/gibraltar-signs-model-1-fatca-iga-armenia-agrees-substance-model-2-fatca-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/02/13/2013/gifts-you-cant-give-your-wife2020-12-03T22:16Znever https://www.findknowdo.com/news/01/15/2014/global-financial-regulators-issue-progress-report-counterparty-risk-reporting-%28-lofchie-comment%292021-06-28T16:43Znever https://www.findknowdo.com/news/02/10/2015/global-legal-entity-identifier-foundation-launches-web-site2020-08-24T19:00Znever https://www.findknowdo.com/news/08/06/2015/global-lei-foundation-launches-financial-company-reference-database2020-12-15T06:23Znever https://www.findknowdo.com/news/12/09/2011/global-regulators-joint-statement-otc-derivatives-%28statement%292020-12-15T06:31Znever https://www.findknowdo.com/news/01/16/2013/goldman-sachs-and-morgan-stanley-pay-557-million-cash-payments-help-mortgage-borrowers2020-12-15T06:44Znever https://www.findknowdo.com/news/02/14/2011/gop-attempts-starve-cftc-funding-assist-developing-new-otc-derivatives-rules-under-fire2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/21/2012/gop-lawmaker-accuses-regulator-ignoring-will-congress-implementing-sec.-201-jobs-act2020-12-15T02:25Znever https://www.findknowdo.com/news/01/06/2011/governance-requirements-derivatives-clearing-organizations-designated-contract-markets-and-swap-execution-facilities-additional-requirements-regarding-mitigation-conflicts-interest2024-01-31T02:37Znever https://www.findknowdo.com/news/01/27/2011/government-announces-package-measures-enhance-consumer-protection-mortgage-market2020-08-06T23:07Znever https://www.findknowdo.com/news/11/05/2013/government-regulators-make-recommendations-isda-%28-lofchie-comment%292020-12-15T02:50Znever https://www.findknowdo.com/news/09/30/2013/government-shutdown-and-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/12/2014/government-sponsored-enterprise-reform-gains-momentum-bipartisan-senate-banking-committee-agreement-legislative-outline-%28-schwartz-comment%292020-12-15T03:18Znever https://www.findknowdo.com/news/03/04/2013/governor-powell-speech-iib-annual-conference-too-big-fail2021-01-20T13:55Znever https://www.findknowdo.com/news/11/07/2013/governor-stein-delivers-speech-frb-chicago-fire-sales-securities-financing-markets2026-04-15T21:18Zyearly https://www.findknowdo.com/news/06/09/2014/governor-tarullo-delivers-speech-corporate-governance-and-prudential-regulation-%28-lofchie-comment%292020-12-15T06:26Znever https://www.findknowdo.com/news/11/22/2013/governor-tarullo-delivers-speech-regarding-shadow-banking-and-systemic-risk-regulation2020-12-15T04:29Znever https://www.findknowdo.com/news/02/25/2013/governor-tarullo-international-cooperation-financial-regulation-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/04/24/2012/group-30-publishes-report-corporate-governance-financial-institutions2021-06-11T18:24Znever https://www.findknowdo.com/news/12/17/2014/group-thirty-publishes-latest-paper-financial-services-and-technology-%28-lofchie-comment%292021-06-23T01:49Znever https://www.findknowdo.com/news/01/13/2011/groups-make-last-ditch-push-change-cftc-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/05/2011/guidance-disclosure-conflicts-interests-arising-typical-incentive-fee-arrangements-commodity-pool-operators-and-commodity-trading-advisors2021-02-01T19:37Znever https://www.findknowdo.com/news/07/12/2012/guidance-a-lenders-decision-discontinue-foreclosure-proceedings-%28frb-letter%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/06/18/2012/guidance-due-diligence-requirements-determining-whether-securities-are-eligible-investment-%28occ-guidance%292020-12-15T06:51Znever https://www.findknowdo.com/news/04/05/2011/guidance-low-priced-equity-securities-customer-margin-and-firm-proprietary-accounts2020-08-24T19:59Znever https://www.findknowdo.com/news/05/10/2012/guidance-effective-date-section-716-dodd-frank-act-%28joint-release%292020-12-15T02:37Znever https://www.findknowdo.com/news/04/02/2012/guidance-effective-date-section-716-dodd-frank-wall-street-reform-and-consumer-protection-act2020-08-24T19:59Znever https://www.findknowdo.com/news/01/26/2011/guidance-financial-institutions-recent-events-tunisia2020-08-24T19:59Znever https://www.findknowdo.com/news/07/06/2012/guidance-help-financial-institutions-and-facilitate-recovery-areas-florida-affected-tropical-storm-debby-%28fdic-financial-institutions-letter%292021-06-15T19:54Znever https://www.findknowdo.com/news/01/05/2011/guidelines-article-122a-capital-requirements-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/09/18/2012/h.r.-2827-%28amending-exchange-act-provisions-regulating-muni-advisers%29-unanimously-ordered-be-amended2020-12-15T06:52Znever https://www.findknowdo.com/news/09/20/2012/h.r.-2827-%28amending-exchange-act-provisions-regulating-muni-advisers%29-passes-house-representatives2020-12-15T06:38Znever https://www.findknowdo.com/news/07/28/2014/harbingers-former-chief-operating-officer-settles-charges-hedge-fund-scheme2020-08-24T19:23Znever https://www.findknowdo.com/news/02/24/2012/harmonization-compliance-obligations-registered-investment-companies-required-register-commodity-pool-operators-%28proposed-rules%292021-01-06T23:57Znever https://www.findknowdo.com/news/01/29/2013/hatch-announces-senate-finance-committee-staff-changes2020-08-24T19:46Znever https://www.findknowdo.com/news/06/17/2013/hatch-statement-transatlantic-trade-and-investment-partnership2020-08-24T19:38Znever https://www.findknowdo.com/news/09/18/2013/hearing-money-market-funds-%28-summary-hearing-delta-strategy-group%292021-01-24T01:53Znever https://www.findknowdo.com/news/02/07/2013/hearing-consider-nomination-jacob-lew-be-secretary-treasury2020-12-15T06:57Znever https://www.findknowdo.com/news/01/03/2013/hedge-fund-adviser-barred-securities-industry2022-07-08T17:11Znever https://www.findknowdo.com/news/03/20/2013/hedge-fund-advisory-firm-sigma-capital-management-agrees-settle-charges-insider-trading-14-million2020-12-15T06:28Znever https://www.findknowdo.com/news/12/12/2012/hedge-fund-manager-pay-44-million-illegal-trading-based-knowledge-impending-offerings2020-08-24T19:46Znever https://www.findknowdo.com/news/12/20/2012/hedge-fund-managers-guilty-insider-trading2021-06-11T20:07Znever https://www.findknowdo.com/news/04/21/2014/hft-class-action-suit-city-providence-v.-bats-global-markets-inc.-et-al.2020-08-06T23:16Znever https://www.findknowdo.com/news/02/10/2015/high-audit-risk-certain-fatca-related-scenarios2020-08-24T19:00Znever https://www.findknowdo.com/news/04/26/2011/high-court-decision-payment-protection-insurance-%28ppi%292020-08-06T23:16Znever https://www.findknowdo.com/news/10/05/2012/high-level-expert-group-eu-bank-reform-presents-recommendations2021-06-16T14:20Znever https://www.findknowdo.com/news/02/01/2013/high-cost-mortgage-and-homeownership-counseling-amendments-truth-lending-act-%28reg.-z%29-and-homeownership-counseling-amendments-real-estate-settlement-procedures-act-%28reg.-x%29-final-rule-official2022-08-30T19:05Znever https://www.findknowdo.com/news/08/18/2011/hm-courts-and-tribunal-service-upper-tribunal-%28tax-and-chancery%29-canada-inc-peter-beck-v-fsa2020-08-06T23:16Znever https://www.findknowdo.com/news/09/02/2011/hm-courts-and-tribunal-service-upper-tribunal-%28tax-and-chancery%29-decisions-jason-geddis-v-fsa2020-08-24T20:06Znever https://www.findknowdo.com/news/12/22/2010/hm-treasury-responses-consultation-amendments-settlement-finality-and-financial-collateral-arrangements-directives2020-08-24T19:59Znever https://www.findknowdo.com/news/07/11/2012/hm-treasury-considers-sanctions-directors-failed-banks2020-12-15T03:06Znever https://www.findknowdo.com/news/09/19/2012/hm-treasury-consults-macro-prudential-systemic-risk-powers2020-09-28T15:13Znever https://www.findknowdo.com/news/10/19/2012/hm-treasury-consults-uk-financial-services-reform-legislation2020-08-06T23:16Znever https://www.findknowdo.com/news/07/31/2012/hm-treasury-launches-formal-inquiry-libor2020-12-15T04:32Znever https://www.findknowdo.com/news/08/05/2012/hm-treasury-seeks-views-addressing-risks-non-bank-financial-institutions2020-12-15T04:32Znever https://www.findknowdo.com/news/03/08/2012/hm-treasury-consolidated-version-financial-services-and-markets-act-%28fsma%29-highlighting-amendments-financial-services-bill-introduction2020-12-15T05:08Znever https://www.findknowdo.com/news/09/20/2012/hmrc-consults-implementation-uk-us-fatca-agreement2020-08-06T23:16Znever https://www.findknowdo.com/news/04/01/2011/hmrc-draft-regulations-dealing-collection-and-management-bank-levy2021-06-11T18:51Znever https://www.findknowdo.com/news/01/12/2011/hmt-publishes-responses-received-special-administration-regime-investment-firms-consultation2020-08-24T19:59Znever https://www.findknowdo.com/news/02/07/2013/home-mortgage-disclosure-%28regulation-c%29-adjustment-asset-size-exemption-threshold-%28cfpb-final-rule%292021-06-14T15:15Znever https://www.findknowdo.com/news/04/11/2014/honduras-signs-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/11/19/2014/hong-kong-and-barbados-sign-fatca-igas-united-states2020-08-24T19:03Znever https://www.findknowdo.com/news/05/09/2014/hong-kong-joins-fatca-iga-party2020-08-24T19:23Znever https://www.findknowdo.com/news/10/06/2014/hong-kong-securities-and-futures-commission-issues-2014-hedge-fund-survey2021-01-24T05:24Znever https://www.findknowdo.com/news/02/06/2013/hong-kong-stock-exchange-publishes-report-review-financial-reports-%28-joseph-lee-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/05/21/2013/house-ag-committee-hearing-future-cftc-%28-summary-hearing-delta-strategy-group%292021-06-13T15:19Znever https://www.findknowdo.com/news/10/02/2013/house-ag-hearing-cftc-customer-protections-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T03:49Znever https://www.findknowdo.com/news/02/04/2011/house-ag-lawmakers-discuss-swaps-cftc-feb-102020-12-15T04:03Znever https://www.findknowdo.com/news/07/25/2013/house-ag-subcommittee-hearing-future-cftc-end-user-perspectives-%28-delta-strategy-group-hearing-summary%292020-12-15T04:24Znever https://www.findknowdo.com/news/04/09/2014/house-agriculture-committee-approves-bipartisan-legislation-reauthorize-cftc-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/29/2015/house-agriculture-committee-considers-testimony-global-derivatives-reforms-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T04:54Znever https://www.findknowdo.com/news/04/08/2014/house-agriculture-committee-introduces-legislation-reauthorize-cftc-%28-lofchie-comment%292022-11-19T16:53Znever https://www.findknowdo.com/news/05/14/2015/house-agriculture-committee-passes-bill-reauthorize-cftc-and-amend-cea2020-12-15T03:14Znever https://www.findknowdo.com/news/03/26/2014/house-agriculture-committee-reps.-issue-statement-swaps-public-utilities-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/01/09/2015/house-and-senate-pass-bill-amending-end-user-margin-requirements2020-12-15T06:27Znever https://www.findknowdo.com/news/06/17/2013/house-appropriations-committee-draft-committee-report-agriculture-bill-%28including-future-cftc%292020-08-24T19:38Znever https://www.findknowdo.com/news/06/09/2015/house-approves-bill-reauthorize-cftc-and-amend-commodity-exchange-act2020-12-15T02:10Znever https://www.findknowdo.com/news/11/29/2012/house-basel-iii-hearing2020-12-15T02:10Znever https://www.findknowdo.com/news/03/07/2014/house-bill-would-clarify-ownership-interest-definition-clos-under-volcker-rule2020-12-15T06:48Znever https://www.findknowdo.com/news/10/20/2014/house-committee-chair-hensarling-talks-about-current-issues-financial-services-industry2020-12-15T03:01Znever https://www.findknowdo.com/news/03/18/2015/house-committee-financial-services-announces-hearing-regarding-fdic-role-operation-choke-point2020-12-15T02:30Znever https://www.findknowdo.com/news/01/14/2015/house-committee-financial-services-announces-republican-subcommittee-assignments2020-08-24T19:00Znever https://www.findknowdo.com/news/01/15/2014/house-committee-financial-services-hearing-impact-volcker-rule-job-creators-part-i-%28-delta-strategy-group-summary%292021-02-01T19:38Znever https://www.findknowdo.com/news/07/09/2015/house-committee-financial-services-holds-hearing-regarding-dodd-frank-sifi-designation2020-09-28T15:13Znever https://www.findknowdo.com/news/11/19/2012/house-committee-financial-services-meeting-basel-iii2020-12-15T03:20Znever https://www.findknowdo.com/news/03/11/2015/house-committee-financial-services-schedules-hearing-state-international-financial-system2020-09-28T15:13Znever https://www.findknowdo.com/news/03/12/2015/house-committee-financial-services-schedules-hearing-regarding-sec-division-enforcement2020-08-24T19:00Znever https://www.findknowdo.com/news/03/18/2015/house-committee-financial-services-hold-hearing-examining-secs-agenda-and-budget-request2020-08-24T19:00Znever https://www.findknowdo.com/news/06/12/2014/house-committee-rules-releases-amended-customer-protection-and-end-user-relief-act2020-12-15T06:30Znever https://www.findknowdo.com/news/04/19/2013/house-democrats-amicus-brief-sides-cftc-isda-v.-cftc2020-12-15T06:37Znever https://www.findknowdo.com/news/11/30/2012/house-democrats-frank-and-capuano-push-sec-cftc-merger-bill-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/06/25/2014/house-financial-services-committee-and-senate-banking-committee-hold-separate-hearings-annual-report-fsoc-%28-delta-strategy-group-summaries%292020-12-15T06:33Znever https://www.findknowdo.com/news/07/08/2013/house-financial-services-committee-announces-first-half-july-hearings2020-12-15T05:52Znever https://www.findknowdo.com/news/07/06/2015/house-financial-services-committee-announces-three-hearings-regarding-dodd-frank-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/03/27/2015/house-financial-services-committee-approves-11-bills-relating-regulatory-relief2020-12-15T06:40Znever https://www.findknowdo.com/news/03/14/2014/house-financial-services-committee-approves-five-bills-u.s.-small-businesses-and-community-financial-institutions2020-12-15T06:26Znever https://www.findknowdo.com/news/06/20/2014/house-financial-services-committee-approves-fsoc-reform-legislation-%28-lofchie-comment%292020-12-15T02:29Znever https://www.findknowdo.com/news/01/22/2015/house-financial-services-committee-approves-oversight-plan2020-12-15T03:51Znever https://www.findknowdo.com/news/01/27/2015/house-financial-services-committee-chair-hensarling-delivers-opening-statement-fhfa-hearing-%28-lofchie-comment-and-music-selection%292020-08-24T19:00Znever https://www.findknowdo.com/news/10/02/2014/house-financial-services-committee-chair-hensarling-questions-frb-and-fdic-about-early-derivatives-termination-rights2020-12-15T03:26Znever https://www.findknowdo.com/news/11/20/2014/house-financial-services-committee-chair-jeb-hensarling-elected-second-term2020-08-24T19:03Znever https://www.findknowdo.com/news/05/20/2014/house-financial-services-committee-chairman-calls-fsoc-cease-and-desist2020-12-15T04:22Znever https://www.findknowdo.com/news/11/18/2013/house-financial-services-committee-chairman-criticizes-cftc-regarding-transaction-level-requirements-certain-cross-border-situations-%28-lofchie-comment%292020-12-03T03:47Znever https://www.findknowdo.com/news/05/01/2013/house-financial-services-committee-chairman-hensarling-announces-hearing-schedule2020-12-15T06:30Znever https://www.findknowdo.com/news/05/08/2014/house-financial-services-committee-chairman-hensarling-urges-secretary-lew-cease-using-too-big-fail-designations2020-12-15T04:37Znever https://www.findknowdo.com/news/07/28/2015/house-financial-services-committee-considers-impact-dodd-frank-%28-delta-strategy-group-summary%292020-08-24T18:15Znever https://www.findknowdo.com/news/05/07/2013/house-financial-services-committee-considers-various-proposed-amendments-dodd-frank-and-jobs-act-%28-lofchie-comment%292020-12-15T05:06Znever https://www.findknowdo.com/news/06/26/2014/house-financial-services-committee-hearing-sec-division-trading-and-markets-%28-delta-strategy-group-summary%292020-08-24T19:23Znever https://www.findknowdo.com/news/01/30/2013/house-financial-services-committee-hearing-look-federal-housing-administration2020-08-24T19:46Znever https://www.findknowdo.com/news/02/13/2013/house-financial-services-committee-hearing2020-12-15T06:46Znever https://www.findknowdo.com/news/05/21/2014/house-financial-services-committee-hearing-examining-dangers-fsocs-designation-process-and-its-impact-u.s.-financial-system-%28-delta-strategy-group-summary%292020-12-15T06:39Znever https://www.findknowdo.com/news/05/21/2013/house-financial-services-committee-hearing-qualified-mortgages-examining-impact-ability-repay-rule2020-12-15T02:27Znever https://www.findknowdo.com/news/05/21/2013/house-financial-services-committee-hearing-unintended-consequences-dodd-franks-conflict-minerals-provision2020-12-15T05:16Znever https://www.findknowdo.com/news/11/29/2012/house-financial-services-committee-hearings-derivatives-and-volcker-rule-announced-december-5th-and-13th2021-02-01T19:38Znever https://www.findknowdo.com/news/11/22/2013/house-financial-services-committee-holds-hearing-amending-securities-investor-protection-act-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/07/14/2015/house-financial-services-committee-holds-hearing-transparency-and-accountability-fed-%28-delta-strategy-group-summary-and-lofchie-comment%292020-09-28T15:13Znever https://www.findknowdo.com/news/04/02/2014/house-financial-services-committee-holds-hearing-regarding-allegations-discrimination-and-retaliation-within-cfpb2020-08-24T19:23Znever https://www.findknowdo.com/news/09/19/2014/house-financial-services-committee-holds-hearing-regarding-oversight-fsoc2020-12-15T05:41Znever https://www.findknowdo.com/news/09/11/2014/house-financial-services-committee-holds-hearing-overview-credit-reporting-system2020-12-15T03:35Znever https://www.findknowdo.com/news/07/15/2014/house-financial-services-committee-holds-hearing-legislation-reform-federal-reserve-its-100-year-anniversary2020-12-15T04:29Znever https://www.findknowdo.com/news/06/13/2014/house-financial-services-committee-holds-meeting-consider-markup-bills-regarding-cfpb-and-securities-act-requirements2020-12-15T05:59Znever https://www.findknowdo.com/news/07/29/2014/house-financial-services-committee-holds-meeting-consider-markups-bills-relating-banks-and-bank-regulators2024-02-12T02:04Znever https://www.findknowdo.com/news/07/22/2014/house-financial-services-committee-issues-staff-report-criticizing-dodd-frank-hearing-follow-%28-lofchie-comment%292020-12-15T06:37Znever https://www.findknowdo.com/news/12/21/2012/house-financial-services-committee-leadership-team2020-08-24T19:46Znever https://www.findknowdo.com/news/02/13/2013/house-financial-services-committee-oversight-plan-financial-regulation-%28-lofchie-comment%292020-12-15T02:23Znever https://www.findknowdo.com/news/08/01/2014/house-financial-services-committee-passes-federal-reserve-accountability-bill2020-09-28T15:14Znever https://www.findknowdo.com/news/05/08/2013/house-financial-services-committee-passes-various-proposed-amendments-dodd-frank-and-jobs-act-%28-lofchie-comment%292020-12-15T04:02Znever https://www.findknowdo.com/news/04/24/2013/house-financial-services-committee-refuses-hear-testimony-richard-cordray2020-12-15T02:20Znever https://www.findknowdo.com/news/07/20/2015/house-financial-services-committee-releases-video-criticizing-dodd-frank2020-08-24T18:15Znever https://www.findknowdo.com/news/10/17/2012/house-financial-services-committee-report-dodd-frank-perpetuates-too-big-fail-and-bailouts-%28-lofchie-comment%292021-09-21T22:57Znever https://www.findknowdo.com/news/07/25/2014/house-financial-services-committee-schedules-markup-bills-relating-banking-and-bank-regulators-%28-lofchie-comment%292024-02-12T02:04Znever https://www.findknowdo.com/news/06/17/2014/house-financial-services-committee-schedules-markup-fsoc-bills2020-12-15T04:42Znever https://www.findknowdo.com/news/04/24/2014/house-financial-services-committee-hold-full-committee-hearing-regarding-oversight-secs-agenda-operations-and-fy-2015-budget-request2020-08-24T19:23Znever https://www.findknowdo.com/news/05/27/2014/house-financial-services-committee-hold-markup-bills-regulating-fsoc-and-cfpb-easing-securities-act-requirements2020-12-15T05:17Znever https://www.findknowdo.com/news/05/22/2014/house-financial-services-committee-votes-markups-small-business-capital-formation-bills-%28-delta-strategy-group-summary%292020-12-15T03:24Znever https://www.findknowdo.com/news/06/06/2013/house-financial-services-committee-hearing-examines-market-power-and-role-proxy-advisory-firms2020-12-15T06:55Znever https://www.findknowdo.com/news/08/21/2012/house-financial-services-field-hearing-looks-effects-dodd-frank-regulations2020-08-24T19:53Znever https://www.findknowdo.com/news/04/03/2014/house-financial-services-subcommittee-chairman-introduces-legislation-reform-fsoc-%28-lofchie-comment%292020-12-15T06:44Znever https://www.findknowdo.com/news/05/09/2014/house-financial-services-subcommittee-chairmen-send-letter-fsb-and-fsoc-requesting-information-methodologies-used-designate-g-sifis-%28-lofchie-comment%292020-12-15T06:29Znever https://www.findknowdo.com/news/05/19/2015/house-financial-services-subcommittee-holds-hearing-cybersecurity-and-cyber-infrastructure-%28-delta-strategy-group-summary%292021-03-20T16:47Znever https://www.findknowdo.com/news/07/15/2014/house-financial-services-subcommittee-holds-hearing-dojs-operation-choke-point2020-12-15T05:11Znever https://www.findknowdo.com/news/01/15/2014/house-financial-services-subcommittee-holds-hearing-effects-qm-rule-%28-delta-strategy-group-summary%292020-12-15T06:30Znever https://www.findknowdo.com/news/05/02/2014/house-financial-services-subcommittee-holds-hearing-legislative-proposals-enhance-capital-formation-small-and-emerging-companies-%28-delta-strategy-group-summary%292020-12-04T23:35Znever https://www.findknowdo.com/news/04/29/2014/house-financial-services-subcommittee-holds-hearing-oversight-sec-%28-delta-strategy-group-summary%292020-08-24T19:23Znever https://www.findknowdo.com/news/11/02/2012/house-financial-services-subcommittee-oversight-and-investigations-release-results-investigation-mf-globals-collapse-next-few-weeks2020-12-15T02:43Znever https://www.findknowdo.com/news/07/22/2015/house-financial-services-subcommittee-reviews-proposals-reform-fed2020-12-15T02:24Znever https://www.findknowdo.com/news/02/26/2014/house-financial-services-subcommittee-hold-hearing-review-reg.-nms2020-12-03T16:59Znever https://www.findknowdo.com/news/03/25/2013/house-hearing-mark-market-taxation-financial-products2020-08-24T19:43Znever https://www.findknowdo.com/news/06/17/2015/house-holds-hearing-regarding-financial-advice-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T02:09Znever https://www.findknowdo.com/news/06/18/2015/house-holds-hearing-regarding-fsoc-2015-annual-report-%28-lofchie-comment%292020-12-15T05:10Znever https://www.findknowdo.com/news/03/13/2014/house-introduces-three-bills-amend-cea-%28-lofchie-comment%292020-12-15T04:48Znever https://www.findknowdo.com/news/07/09/2015/house-judiciary-subcommittee-holds-hearing-financial-institution-bankruptcy-act-2015-%28-lofchie-comment%292020-12-15T04:04Znever https://www.findknowdo.com/news/12/03/2013/house-judiciary-subcommittee-regulatory-reform-commercial-and-antitrust-law-holds-hearing-regarding-bankruptcy-code2020-12-15T02:20Znever https://www.findknowdo.com/news/01/14/2014/house-lawmakers-submit-letter-sec-stating-volcker-rule-lacks-required-economic-analysis-%28-lofchie-comment%292021-02-01T19:38Znever https://www.findknowdo.com/news/02/10/2011/house-panel-plans-scrutiny-excessive-burdens-swaps-rules2020-12-15T06:02Znever https://www.findknowdo.com/news/01/14/2015/house-passes-extension-volcker-rule-conformance-period-clos2020-12-15T06:49Znever https://www.findknowdo.com/news/06/12/2013/house-passes-four-bills-which-senate-not-expected-act-%28summary-delta-strategy-group%292020-12-15T06:48Znever https://www.findknowdo.com/news/05/16/2013/house-passes-jobs-act-deadline-bill2020-12-15T05:16Znever https://www.findknowdo.com/news/07/16/2015/house-passes-several-legislative-proposals-relating-financial-services2021-01-24T05:21Znever https://www.findknowdo.com/news/07/21/2015/house-representatives-critique-cftcs-proposed-margin-and-capital-requirements-uncleared-swaps-between-affiliates-%28-lofchie-comment%292020-12-15T04:42Znever https://www.findknowdo.com/news/02/01/2011/house-republican-probe-federal-agency-dodd-frank-spending2020-08-06T23:16Znever https://www.findknowdo.com/news/07/23/2015/house-republicans-criticize-dodd-frank-five-year-anniversary2020-08-24T18:15Znever https://www.findknowdo.com/news/11/30/2012/house-republicans-joint-letter-requests-volcker-rule-implementation-delay2020-12-15T06:49Znever https://www.findknowdo.com/news/10/05/2012/house-republicans-letter-treasury-secretary-geithner-digs-cftc-among-others2020-12-15T04:26Znever https://www.findknowdo.com/news/06/02/2015/house-rules-committee-holds-hearing-commodity-end-user-relief-act-%28-delta-strategy-group-summary%292020-08-24T18:15Znever https://www.findknowdo.com/news/06/18/2013/house-subcommittee-raises-oversight-and-accountability-concerns-cfpb2021-09-21T22:54Znever https://www.findknowdo.com/news/06/20/2013/house-subcommittee-approves-four-financial-services-bills2020-12-15T04:38Znever https://www.findknowdo.com/news/08/02/2012/house-subcommittee-approves-proposed-amendment-muni-advisor-provisions-exchange-act2020-12-15T04:39Znever https://www.findknowdo.com/news/04/29/2014/house-subcommittee-chair-garrett-delivers-opening-remarks-oversight-sec-hearing-focuses-fsoc-and-nms-%28-lofchie-comment%292020-12-15T05:15Znever https://www.findknowdo.com/news/03/05/2014/house-subcommittee-hearing-financial-regulations-impact-international-competitiveness-%28-delta-strategy-group-summary-and-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/29/2015/house-subcommittee-holds-hearing-legislative-proposals-enhance-capital-formation-and-reduce-regulatory-burdens2020-12-15T02:50Znever https://www.findknowdo.com/news/02/28/2014/house-subcommittee-holds-hearing-regulation-nms-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-03T16:59Znever https://www.findknowdo.com/news/06/16/2015/house-subcommittee-holds-hearing-examine-cyber-threats-u.s.-financial-sector-%28-delta-strategy-group-summary%292021-03-20T16:47Znever https://www.findknowdo.com/news/10/23/2013/house-subcommittee-capital-markets-hearing-barriers-capital-formation2021-01-24T01:57Znever https://www.findknowdo.com/news/10/29/2013/house-vote-financial-services-bill-regarding-broker-dealer-fiduciary-responsibilities2020-12-15T04:42Znever https://www.findknowdo.com/news/10/29/2013/house-vote-financial-services-bill-regarding-swaps-regulation-%28-lofchie-comment%292021-01-06T01:51Znever https://www.findknowdo.com/news/09/19/2014/house-votes-amendments-volcker-rule-relating-collateralized-loan-obligations2020-12-15T06:51Znever https://www.findknowdo.com/news/06/24/2014/house-votes-reauthorize-cftc-new-obligations-its-exercise-authority-%28-lofchie-comment%292022-11-19T16:53Znever https://www.findknowdo.com/news/03/25/2014/house-ways-and-means-committee-hold-markup-extenders-april2020-08-24T19:23Znever https://www.findknowdo.com/news/11/18/2013/how-mark-cuban-scored-home-court-win-against-sec2020-12-15T03:20Znever https://www.findknowdo.com/news/12/27/2010/how-derail-financial-reform2020-12-15T06:35Znever https://www.findknowdo.com/news/04/16/2014/hsbc-requests-treasury-relief-fatca-eag-rule2020-08-24T19:23Znever https://www.findknowdo.com/news/07/16/2012/ica-notice-americafirst-quantitative-trust-and-americafirst-securities-%28sec-release%292021-11-25T15:18Znever https://www.findknowdo.com/news/07/06/2012/ica-notice-aqr-capital-management-llc-%28sec-notice%292020-08-06T23:16Znever https://www.findknowdo.com/news/07/06/2012/ica-notice-arrow-investment-advisers-llc-%28sec-notice%292020-08-06T23:16Znever https://www.findknowdo.com/news/07/16/2012/ica-notice-versus-capital-multi-manager-real-estate-income-fund-llc-et-al.-%28sec-release%292022-01-04T04:26Znever https://www.findknowdo.com/news/07/30/2014/icap-adopts-iosco-principles-financial-benchmarks2021-06-17T16:16Znever https://www.findknowdo.com/news/01/25/2011/icb-speech-sir-john-vickers-how-regulate-capital-and-corporate-structures-banks2020-08-24T19:59Znever https://www.findknowdo.com/news/09/19/2014/ice-clear-credit-implements-2014-isda-credit-derivatives-definitions2020-12-15T03:49Znever https://www.findknowdo.com/news/09/17/2013/ice-clear-u.s.-%28icus%29-increases-clearing-member-minimum-cash-requirement-guaranty-fund-contributions2020-08-06T23:16Znever https://www.findknowdo.com/news/12/16/2013/ice-clear-u.s.-announces-new-fees-collateral-and-cash-holdings-%28-dewaal-comment%292020-12-15T04:24Znever https://www.findknowdo.com/news/09/16/2013/ice-exchange-notice-guidance-private-negotiation-requirement-applicable-efrp-transactions2020-12-15T04:40Znever https://www.findknowdo.com/news/08/22/2012/ice-futures-block-trades-faq2020-12-03T02:26Znever https://www.findknowdo.com/news/04/01/2014/ice-futures-europe-tokyo-and-osaka-exchanges-inform-sec-intent-rely-class-no-action-relief-non-u.s.-options-exchanges2020-08-24T19:28Znever https://www.findknowdo.com/news/10/04/2012/ice-futures-exchange-notice-amendments-exchange-error-policy-%28-lofchie-comment%292020-12-15T05:20Znever https://www.findknowdo.com/news/10/04/2012/ice-futures-exchange-notice-light-position-limits-decision-amendments-ice-exchange-regulatory-rules2020-12-15T05:54Znever https://www.findknowdo.com/news/09/26/2012/ice-futures-exchange-notice-cftc-rule-39.13%28g%29%288%29%28ii%29-customer-initial-margin-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2012/ice-futures-exchange-delist-reuters-jefferies/crb-index-and-cci-index-futures-contracts2020-08-06T23:16Znever https://www.findknowdo.com/news/01/13/2014/ice-futures-seeks-cftc-authority-more-summary-fines-%28-dewaal-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/09/2012/ice-futures-u.s.-energy-position-limit-exemption-form2020-12-15T06:21Znever https://www.findknowdo.com/news/11/20/2012/ice-futures-u.s.-revisions-block-trade-minimum-quantity-requirements-and-reporting-deadlines2020-12-03T02:26Znever https://www.findknowdo.com/news/08/19/2014/ice-futures-u.s.-and-ice-clear-u.s.-participate-fia-sponsored-disaster-recovery-test2020-12-15T06:58Znever https://www.findknowdo.com/news/11/15/2012/ice-futures-u.s.-announcement-rulebook-amendment-and-position-limit-changes2020-08-06T23:16Znever https://www.findknowdo.com/news/12/05/2012/ice-futures-u.s.-block-trade-faqs2020-12-15T03:22Znever https://www.findknowdo.com/news/05/20/2013/ice-futures-u.s.-energy-announces-position-limits-block-requirements-and-large-trader-reporting-new-products2022-08-30T19:05Znever https://www.findknowdo.com/news/08/14/2012/ice-futures-u.s.-exchange-regarding-market-participants-consent-exchange-jurisdiction-%28rule-adoption%292020-12-15T03:56Znever https://www.findknowdo.com/news/08/14/2012/ice-futures-u.s.-exchange-notices-new-rule-4.06-exchange-related-position2020-08-06T23:16Znever https://www.findknowdo.com/news/12/05/2012/ice-futures-u.s.-guidance-private-negotiation-requirement-applicable-block-trades2020-12-03T02:26Znever https://www.findknowdo.com/news/05/29/2013/ice-futures-u.s.-implements-change-block-trade-minimum-quantity-several-currency-pair-futures-contracts2020-12-15T05:16Znever https://www.findknowdo.com/news/11/14/2012/ice-futures-u.s.-position-limit-dates-energy-contracts2020-12-15T05:50Znever https://www.findknowdo.com/news/06/12/2013/ice-futures-u.s.-updates-block-trade-faqs2020-12-15T06:07Znever https://www.findknowdo.com/news/01/18/2013/ice-futures-u.s.-amendments-exchange-rule-27.12a2020-12-15T06:37Znever https://www.findknowdo.com/news/05/15/2013/ice-futures-u.s.-guidance-large-trader-and-open-interest-reporting-ice-futures-u.s.-energy-products2022-08-30T19:05Znever https://www.findknowdo.com/news/04/25/2013/ice-issues-announcement-regarding-position-limits-block-requirements-and-large-trader-reporting-new-ifus-energy-products2020-12-15T17:24Znever https://www.findknowdo.com/news/04/25/2013/ice-issues-exchange-notice-providing-guidance-ifus-rule-6.13-enforcement-position-limits-and-position-accountability-levels2020-12-15T05:59Znever https://www.findknowdo.com/news/09/14/2012/ice-notice-12-089-gross-customer-margin2020-12-15T02:56Znever https://www.findknowdo.com/news/10/22/2012/ice-notice-12-101-intra-day-variation-margin-call-policy2020-08-06T23:16Znever https://www.findknowdo.com/news/11/05/2013/ice-notice-13-106-changes-clearing-member-guaranty-fund-requirements-and-mmmf-policy2020-12-15T03:17Znever https://www.findknowdo.com/news/10/15/2012/ice-otc-advisory-notice-further-guidance-swaps-futures-transition2020-12-15T03:34Znever https://www.findknowdo.com/news/10/15/2012/ice-otc-advisory-notice-implementation-ifus-error-trade-policy2020-12-15T03:51Znever https://www.findknowdo.com/news/10/09/2012/ice-otc-market-guidance-swaps-futures-transition-position-limits-accountability-levels-and-hedge-exemptions2021-06-11T21:14Znever https://www.findknowdo.com/news/09/04/2012/ice-otc-markets-advisory-notice-large-trader-reporting-additional-cleared-otc-products2020-12-15T06:38Znever https://www.findknowdo.com/news/11/13/2012/ice-platform-release-testing-notice2020-08-06T23:16Znever https://www.findknowdo.com/news/09/04/2012/ice-press-release-ice-transition-cleared-energy-swaps-futures-october2021-06-11T17:40Znever https://www.findknowdo.com/news/12/16/2013/ice-publicizes-its-plans-transition-liffe-contracts-ice-exchanges2021-06-12T21:43Znever https://www.findknowdo.com/news/01/03/2014/ice-releases-reporting-requirements-martin-luther-king-day2020-12-15T05:22Znever https://www.findknowdo.com/news/12/20/2012/ice-acquire-nyse-euronext-33.12-share-%288.2-billion%29-stock-and-cash-creating-premier-global-market-operator2021-06-11T20:16Znever https://www.findknowdo.com/news/06/11/2013/ice-launch-first-credit-index-futures-contract-june-172021-06-12T20:59Znever https://www.findknowdo.com/news/12/27/2010/ice-trust-pulls-credit-default-swap-application2020-12-15T06:43Znever https://www.findknowdo.com/news/12/28/2010/ice-trust-u.s.-llc-withdraws-its-application-registration-a-derivatives-clearing-organization2024-01-31T02:37Znever https://www.findknowdo.com/news/12/13/2012/ici-chamber-commerce-v.-cftc-cftc-wins-registration-rules-rics-still-stand2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/ici-and-u.s.-chamber-commerce-v.-cftc-icis-response-courts-inquiry-concerning-definition-bona-fide-hedging2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/05/2012/ici-and-u.s.-chamber-commerce-vs.-cftc-%28challenging-cftcs-denial-complete-cpo-exemption-rics%29-%28-materials%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/24/2015/ici-recommends-dol-revisit-best-interest-standard-its-proposed-fiduciary-rule2021-06-18T15:09Znever https://www.findknowdo.com/news/06/10/2015/ici-requests-guidance-irs-regarding-contributions-nav-funds2021-01-24T01:53Znever https://www.findknowdo.com/news/06/21/2012/ici-study-cost-operational-complexities-redemption-restrictions-would-drive-investors-intermediaries-money-market-funds2021-01-24T01:53Znever https://www.findknowdo.com/news/10/14/2013/ici-submits-amicus-brief-supreme-court-sarbanes-oxley-whistleblower-case2024-01-30T02:46Znever https://www.findknowdo.com/news/06/01/2015/ici-submits-comment-letters-regulators-and-fsb-critical-potential-g-sifi-designation-%28-lofchie-comment%292021-01-24T05:22Znever https://www.findknowdo.com/news/02/12/2014/ici-submits-comments-proposed-aggregation-positions-rule2020-12-15T04:33Znever https://www.findknowdo.com/news/08/18/2015/ici-urges-sec-mind-investment-company-acts-regulation-exchange-traded-products2021-01-24T01:47Znever https://www.findknowdo.com/news/04/04/2013/ici-vs.-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2013/ici-vs.-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2013/ici-vs.-cftc-industrys-and-former-senior-regulators-amicus-brief-support-ici2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/27/2012/ici-vs.-cftc-go-appeal2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/11/2013/ici-vs.-cftc-brief-appellee-cftc-joint-motion-nfa-and-better-markets-leave-file-joint-amicus-curiae-brief2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2013/ici-vs.-cftc-implementation-amendments-rule-4.5-too-soon2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/24/2012/icma-publishes-2012-master-repo-agreement-legal-opinions2021-06-15T20:05Znever https://www.findknowdo.com/news/04/24/2012/icma-publishes-report-q2-20122020-08-06T23:16Znever https://www.findknowdo.com/news/11/01/2012/icus-delay-platform-release2020-12-15T06:52Znever https://www.findknowdo.com/news/04/19/2013/identity-theft-red-flags-rules-%28joint-final-rules-fed.-reg.-version%29-%28-lofchie-comments%292020-12-15T03:52Znever https://www.findknowdo.com/news/03/06/2012/identity-theft-red-flags-rules-joint-proposed-rules-and-guidelines2020-12-15T04:05Znever https://www.findknowdo.com/news/04/01/2011/ifsb-press-release-ifsb-adopts-two-new-guidance-notes-islamic-financial-services-industry2020-08-06T23:16Znever https://www.findknowdo.com/news/11/01/2012/ifus-block-trading-faq2020-12-03T02:26Znever https://www.findknowdo.com/news/10/16/2012/ifus-exchange-notice-amendments-various-rules2020-08-06T23:16Znever https://www.findknowdo.com/news/10/16/2012/ifus-notice-new-block-trade-requirements-energy-futures-and-options-contracts2020-12-15T03:45Znever https://www.findknowdo.com/news/10/16/2012/ifus-notice-rule-amendments-related-energy-contracts2020-12-15T04:00Znever https://www.findknowdo.com/news/03/18/2013/ifus-releases-financial-reporting-requirements-reminder-all-members2020-12-15T04:08Znever https://www.findknowdo.com/news/10/18/2012/ifus-restores-block-trade-minimums-energy-futures-and-options-contracts2020-12-03T02:26Znever https://www.findknowdo.com/news/10/17/2012/ifus-rule-change-new-clearing-obligations2020-12-15T04:43Znever https://www.findknowdo.com/news/10/15/2012/ifus-block-trading-exchange-notice-and-faq2020-12-15T04:57Znever https://www.findknowdo.com/news/12/11/2012/ifus-requires-registration-application-certain-futures-professionals-trading-ice-futures-u.s.-december-312020-12-15T05:18Znever https://www.findknowdo.com/news/12/07/2012/ifus-revisions-entry-and-reporting-requirements-block-trades-executed-outside-normal-trading-hours2020-12-03T02:26Znever https://www.findknowdo.com/news/08/10/2012/iib-exemptive-order-request-regarding-compliance-certain-swap-regulations2021-01-20T13:55Znever https://www.findknowdo.com/news/05/01/2013/iib-comment-letter-frbs-proposed-regulations2021-06-13T20:45Znever https://www.findknowdo.com/news/08/16/2013/iib-files-comments-cftc-cross-border-exemptive-order-%28-lofchie-comment%292021-01-20T13:55Znever https://www.findknowdo.com/news/02/06/2013/iib-final-comment-letter-cftc-further-proposed-cross-border-guidance-%28-two-lofchie-comments%292021-01-20T13:55Znever https://www.findknowdo.com/news/09/12/2012/iib-letter-alternatives-volcker-rule2021-02-01T19:38Znever https://www.findknowdo.com/news/10/17/2013/iib-releases-memorandum-regarding-regulation-and-supervision-u.s.-branches-and-agencies-foreign-banks2021-01-20T13:55Znever https://www.findknowdo.com/news/11/19/2012/iib-sifma-isda-no-action-request-regarding-legacy-swap-affiliates-or-their-aggregation-affiliates-%28-lofchie-comment%292022-11-19T16:29Znever https://www.findknowdo.com/news/06/20/2013/iiroc-and-iosco-co-sponsor-fifth-joint-investor-education-conference2020-08-06T23:16Znever https://www.findknowdo.com/news/01/05/2012/illinois-federal-court-imposes-140000-civil-monetary-penalty-foreign-currency-firm-fxopen-investments-inc.-acting-unregistered-retail-foreign-exchange-dealer-%28enforcement-action%292024-01-29T03:21Znever https://www.findknowdo.com/news/09/05/2012/im-no-action-letter-%28non%29-investment-company-owning-shares-operating-company2021-01-24T01:47Znever https://www.findknowdo.com/news/09/07/2012/im-no-action-letter-ici-custody-529-plans2022-01-02T17:02Znever https://www.findknowdo.com/news/09/12/2012/im-no-action-letter-j.p.-turner-company-l.l.c.-et-al.2020-08-24T19:53Znever https://www.findknowdo.com/news/09/21/2012/ima-publishes-guidance-enhanced-disclosure-fund-charges-and-transaction-costs2021-06-11T21:40Znever https://www.findknowdo.com/news/09/03/2014/imf-issues-detailed-assessment-implementation-iosco-objectives-and-principles-securities-regulation-switzerland2021-06-28T17:04Znever https://www.findknowdo.com/news/03/29/2011/imf-working-paper-making-otc-derivatives-safe-fresh-look2020-08-06T23:16Znever https://www.findknowdo.com/news/01/29/2013/immediately-effective-c2-and-cboe-rule-changes2020-12-15T03:25Znever https://www.findknowdo.com/news/04/01/2013/immediately-effective-cboe-fee-change2020-12-15T03:09Znever https://www.findknowdo.com/news/10/24/2013/immediately-effective-exchange-rule-changes2020-12-15T02:56Znever https://www.findknowdo.com/news/02/27/2013/immediately-effective-nasdaq-rule-change2020-12-15T02:37Znever https://www.findknowdo.com/news/02/08/2013/immediately-effective-nyse-rule-change2020-12-15T02:14Znever https://www.findknowdo.com/news/06/10/2013/immediately-effective-phlx-rule-changes2020-12-15T06:51Znever https://www.findknowdo.com/news/03/27/2013/immediately-effective-securities-sro-rule-changes2020-12-15T06:37Znever https://www.findknowdo.com/news/01/26/2011/impact-high-cost-credit-protection-transactions-assessment-capital-adequacy2020-08-24T19:59Znever https://www.findknowdo.com/news/09/14/2012/impact-dodd-frank-act-small-banks-too-soon-say-%28gao-report%292020-12-15T03:17Znever https://www.findknowdo.com/news/07/12/2012/implementation-a-new-process-requesting-guidance-federal-reserve-regarding-bank-and-nonbank-acquisitions-and-other-proposals-%28frb-letter%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/06/25/2013/important-victory-cftc-ici-and-chamber-commerce-v.-cftc-registration-rules-rics-still-stand2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2015/japan-cftc-chair-massad-discusses-cross-border-harmonization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/03/2011/re-aristeia-capital-llc2020-12-15T03:19Znever https://www.findknowdo.com/news/03/23/2011/re-jsk-associates-inc.2021-02-01T19:58Znever https://www.findknowdo.com/news/03/04/2011/re-securities-transfer-corp.-and-kevin-halter-jr.2020-08-06T23:16Znever https://www.findknowdo.com/news/12/10/2012/response-concerns-over-non-u.s.-privacy-laws-cftc-issues-time-limited-no-action-relief-part-20-reporting-entities-and-parts-45-and-46-reporting-counterparties-regarding-leis2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/15/2011/matter-bny-mellon-securities-llc2020-12-03T02:22Znever https://www.findknowdo.com/news/01/24/2011/matter-horseman-capital-management-lp2020-08-24T19:59Znever https://www.findknowdo.com/news/01/06/2011/matter-paul-george-chironis2020-08-06T23:16Znever https://www.findknowdo.com/news/12/27/2013/inaccurate-swaps-data-plagues-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/05/2011/incentive-based-compensation-arrangements2020-12-03T05:34Znever https://www.findknowdo.com/news/04/22/2014/india-agrees-substance-fatca-model-1-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/06/15/2015/industry-associations-submit-letter-supporting-global-trade-reporting-and-data-harmonization-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/09/17/2012/industry-comments-cftc-rule-proposal-regarding-margin-requirements-uncleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/13/2013/industry-groups-submit-critical-comments-cftc-cross-border-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/29/2015/industry-news-article-discusses-cftcs-flash-crash-accusations-and-secs-whistleblower-award-a-compliance-officer2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/14/2014/industry-news-article-discusses-cftcs-results-open-meeting-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2015/industry-news-article-discusses-various-issues-commodities-sector2020-12-15T02:20Znever https://www.findknowdo.com/news/06/04/2014/industry-participants-comment-newly-approved-cftc-commissioners2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/10/2012/information-edgar-filers2020-12-03T05:07Znever https://www.findknowdo.com/news/03/25/2013/interagency-guidance-leveraged-lending-%28fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/11/26/2012/interagency-statement-dodd-frank-act-section-612-restrictions-conversions-troubled-banks2020-12-15T06:54Znever https://www.findknowdo.com/news/01/19/2011/interagency-working-group-releases-carbon-oversight-study2020-12-15T03:52Znever https://www.findknowdo.com/news/02/10/2011/interbroker-dealer-banned-fsa2020-08-24T20:06Znever https://www.findknowdo.com/news/06/25/2013/interested-parties-submit-opposing-amicus-brief-isda-v.-cftc-position-limits-case2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2011/interim-pilot-program-margin-requirements-credit-default-swaps2020-12-15T06:05Znever https://www.findknowdo.com/news/05/20/2013/international-banking-and-financial-law-journal-section-377-u.k.-financial-services-and-markets-act-2000-and-bank-bail2020-12-15T03:00Znever https://www.findknowdo.com/news/03/24/2014/international-financial-law-review-article-impact-cftc-no-action-relief-swaps-trading-mtfs2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/26/2012/international-monetary-fund-report-financial-reform-%28-lofchie-comment%292020-12-15T03:28Znever https://www.findknowdo.com/news/03/08/2012/international-standards-combating-money-laundering-and-financing-terrorism-proliferation-fatf-recommendations2021-03-26T18:58Znever https://www.findknowdo.com/news/06/18/2012/interpretive-notice-concerning-application-msrb-rule-g-17-underwriters-municipal-securities2020-12-15T06:52Znever https://www.findknowdo.com/news/08/02/2013/interview-delta-strategy-group-cftc-reauthorization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/29/2014/interview-nfa-cta-representative-james-koutoulas2021-06-28T17:00Znever https://www.findknowdo.com/news/04/18/2013/investment-adviser-charged-defrauding-institutional-investors-inflating-firms-assets-under-management2020-12-15T04:05Znever https://www.findknowdo.com/news/07/14/2015/investment-adviser-firm-fined-providing-inaccurate-data-brokers-%28-lofchie-comment%292020-12-16T23:41Znever https://www.findknowdo.com/news/01/13/2014/investment-advisor-agrees-end-survey-investment-banks-research-analysts-%28-lofchie-comment%292020-12-15T06:30Znever https://www.findknowdo.com/news/07/18/2012/investment-advisors-act-1940-administrative-proceeding-centaur-management-co.-llc-%28sec-release%292020-08-06T23:16Znever https://www.findknowdo.com/news/08/19/2015/investment-advisor/broker-dealer-agrees-settle-charges-compliance-and-surveillance-failures2020-08-24T18:15Znever https://www.findknowdo.com/news/09/18/2012/investment-company-act-exemptive-application2021-01-24T01:47Znever https://www.findknowdo.com/news/07/11/2012/investment-company-act-notice-indexiq-advisors-%28sec-notice%292022-01-01T12:28Znever https://www.findknowdo.com/news/07/17/2012/investment-company-act-notice-dreyfus-corporation-et-al.-%28sec-release%292021-01-24T01:47Znever https://www.findknowdo.com/news/07/27/2012/investment-company-act-order-gladstone-capital-corporation-et-al.-%28sec-release%292021-01-24T01:57Znever https://www.findknowdo.com/news/07/27/2012/investment-company-act-order-aqr-capital-management-llc-%28sec-release%292021-01-24T01:47Znever https://www.findknowdo.com/news/09/18/2013/investment-company-institute-comments-sec-regarding-money-market-funds2021-01-24T01:53Znever https://www.findknowdo.com/news/08/12/2015/investment-company-institute-supports-sec-proposed-reporting-requirements-%28-lofchie-comment%292021-01-24T01:47Znever https://www.findknowdo.com/news/01/21/2015/investment-management-director-norm-champ-leave-sec-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/08/10/2015/investment-management-firm-settles-charge-it-failed-disclose-conflict-clients2020-12-15T04:08Znever https://www.findknowdo.com/news/12/06/2011/investment-customer-funds-and-funds-held-account-foreign-futures-%28final-rule%292024-01-31T02:37Znever https://www.findknowdo.com/news/12/19/2011/investment-customer-funds-and-funds-held-account-foreign-futures-and-foreign-options-transactions-%28final-rule%292024-01-31T02:37Znever https://www.findknowdo.com/news/05/30/2013/investor-alert-sec-warns-bogus-securities-regulators-soliciting-investors2020-08-24T19:43Znever https://www.findknowdo.com/news/08/13/2012/investor-bulletin-exchange-traded-funds-%28etfs%292021-01-24T02:58Znever https://www.findknowdo.com/news/09/10/2012/investor-bulletin-lost-and-stolen-securities2020-08-24T19:53Znever https://www.findknowdo.com/news/07/23/2012/investor-bulletin-new-measures-address-market-volatility-%28sec-release%292022-11-21T16:23Znever https://www.findknowdo.com/news/06/13/2012/investor-voices-renewed-new-investor-advisory-committee-%28sec-speech%292023-04-26T00:06Znever https://www.findknowdo.com/news/01/08/2014/iosco-and-fsb-publish-proposed-assessment-methodologies-identifying-non-bank-non-insurer-global-sifis2020-08-24T19:31Znever https://www.findknowdo.com/news/02/04/2015/iosco-announces-project-analyzing-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/02/13/2015/iosco-board-meets-discuss-2015-priorities2020-12-23T17:59Znever https://www.findknowdo.com/news/03/22/2013/iosco-consultation-report-regulatory-issues-raised-changes-market-structure2020-12-03T11:45Znever https://www.findknowdo.com/news/08/23/2012/iosco-consultation-report-technological-challenges-effective-market-surveillance-issues-and-regulatory-tools2021-06-15T19:38Znever https://www.findknowdo.com/news/02/11/2013/iosco-consultative-report-mortgage-insurance-market-structure-underwriting-cycle-and-policy-implications-%28-lofchie-comment%292020-12-03T11:45Znever https://www.findknowdo.com/news/11/26/2014/iosco-consults-cross-border-regulation2020-08-06T23:16Znever https://www.findknowdo.com/news/04/18/2013/iosco-consults-regulation-retail-structured-products-%28-lofchie-comment%292022-04-30T01:46Znever https://www.findknowdo.com/news/08/07/2015/iosco-encourages-greater-post-trade-transparency-credit-default-swaps-market2020-12-02T23:39Znever https://www.findknowdo.com/news/10/02/2013/iosco-final-report-progress-implementation-principles-identify-risk2020-08-24T19:31Znever https://www.findknowdo.com/news/05/30/2014/iosco-issues-consultation-report-framework-investor-education-and-financial-literacy2020-08-06T23:16Znever https://www.findknowdo.com/news/10/13/2014/iosco-issues-correction-regarding-securities-markets-risk-outlook-2014-152020-08-24T19:03Znever https://www.findknowdo.com/news/01/28/2015/iosco-issues-final-report-risk-mitigation-standards-non-centrally-cleared-otc-derivatives2022-11-19T16:31Znever https://www.findknowdo.com/news/02/24/2015/iosco-issues-final-report-regarding-prudential-standards-securities-sector2020-08-06T23:16Znever https://www.findknowdo.com/news/11/18/2014/iosco-issues-report-post-trade-transparency-cds-market2020-12-02T23:39Znever https://www.findknowdo.com/news/06/27/2014/iosco-issues-report-risk-identification-and-assessment-methodologies2020-08-06T23:16Znever https://www.findknowdo.com/news/02/06/2014/iosco-issues-report-risks-and-benefits-financial-return-crowd-funding2020-12-15T03:36Znever https://www.findknowdo.com/news/12/16/2013/iosco-issues-two-studies-one-related-market-structure-and-other-regarding-incentive-fees2020-12-15T04:36Znever https://www.findknowdo.com/news/10/21/2013/iosco-launches-first-securities-markets-risk-outlook2020-08-06T23:16Znever https://www.findknowdo.com/news/06/04/2013/iosco-launches-investor-education-gateway2020-12-15T04:19Znever https://www.findknowdo.com/news/10/02/2014/iosco-launches-securities-markets-risk-outlook-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/08/05/2014/iosco-makes-repository-information-global-clearing-requirements-available-public2021-06-11T18:09Znever https://www.findknowdo.com/news/02/21/2014/iosco-meets-discuss-enhancing-emerging-market-resilience2020-08-24T19:23Znever https://www.findknowdo.com/news/06/16/2014/iosco-meets-discuss-market-based-finance2020-12-15T05:13Znever https://www.findknowdo.com/news/09/18/2013/iosco-met-discuss-global-regulatory-reform-securities-regulation2021-01-20T14:12Znever https://www.findknowdo.com/news/06/17/2015/iosco-outlines-strategic-direction-annual-conference2020-08-24T18:15Znever https://www.findknowdo.com/news/10/10/2012/iosco-publishes-%28over-sec-objections%29-policy-recommendations-money-market-funds-%28-lofchie-comment%292021-01-24T01:53Znever https://www.findknowdo.com/news/10/21/2013/iosco-publishes-report-second-iosco-hedge-fund-survey2021-01-24T05:23Znever https://www.findknowdo.com/news/09/17/2014/iosco-publishes-consultation-report-risk-mitigation-non-centrally-cleared-otc-derivatives2022-11-19T16:29Znever https://www.findknowdo.com/news/06/05/2014/iosco-publishes-consultation-report-good-practices-reducing-reliance-investment-advisers-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/03/11/2013/iosco-publishes-numerous-comments-response-its-report-financial-benchmarks-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/11/27/2012/iosco-publishes-principles-ongoing-disclosure-asset-backed-securities2020-12-15T06:57Znever https://www.findknowdo.com/news/05/03/2013/iosco-publishes-principles-valuation-fund-assets-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/03/04/2013/iosco-publishes-principles-liquidity-risk-management-collective-investment-schemes2020-09-28T15:10Znever https://www.findknowdo.com/news/11/16/2012/iosco-publishes-recommendations-securitization-regulation-%28-lofchie-comment%292021-09-21T22:48Znever https://www.findknowdo.com/news/01/30/2014/iosco-publishes-recommendations-regarding-protection-client-assets-%28-dewaal-comment%292020-12-15T04:24Znever https://www.findknowdo.com/news/02/08/2013/iosco-publishes-recommendations-regarding-protection-client-assets-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/02/10/2014/iosco-publishes-report-code-conduct-fundamentals-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/06/17/2015/iosco-publishes-report-deterrence-approaches-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/07/22/2014/iosco-publishes-report-implementation-benchmarks-interest-rate-administrators2020-08-24T19:23Znever https://www.findknowdo.com/news/06/25/2015/iosco-publishes-report-international-standards-fees-and-expenses-investment-funds2021-01-24T05:22Znever https://www.findknowdo.com/news/04/22/2013/iosco-publishes-report-technological-challenges-market-surveillance-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/05/07/2015/iosco-publishes-report-recommending-practices-assessing-credit-risk-large-intermediaries2020-08-24T18:15Znever https://www.findknowdo.com/news/07/30/2015/iosco-publishes-review-disclosure-frameworks-and-collective-investment-schemes2020-08-06T23:16Znever https://www.findknowdo.com/news/06/18/2014/iosco-publishes-securities-market-risk-survey2020-09-18T01:55Znever https://www.findknowdo.com/news/11/05/2014/iosco-publishes-strategic-framework-investor-education-and-financial-literacy2020-08-06T23:16Znever https://www.findknowdo.com/news/01/22/2013/iosco-publishes-suitability-requirements-distribution-complex-financial-products-%28-dissenting-statements-sec-commissioners%29-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/06/03/2013/iosco-publishes-responses-financial-benchmark-consultation-%28-lofchie-comment%292020-09-28T15:14Znever https://www.findknowdo.com/news/04/07/2015/iosco-publishes-two-consultation-reports-business-continuity-plans-trading-venues-and-intermediaries2020-12-15T03:16Znever https://www.findknowdo.com/news/06/10/2015/iosco-recommends-practices-reducing-reliance-credit-rating-agencies-asset-management-%28-lofchie-comment%292024-01-31T14:59Znever https://www.findknowdo.com/news/10/02/2014/iosco-reelects-greg-medcraft-board-chair2020-08-06T23:16Znever https://www.findknowdo.com/news/05/24/2013/iosco-regulators-emphasize-need-stronger-voice-shaping-global-regulatory-reform2020-08-06T23:16Znever https://www.findknowdo.com/news/06/24/2013/iosco-releases-new-principles-guide-exchange-traded-funds-%28-lofchie-comment%292021-01-24T03:03Znever https://www.findknowdo.com/news/06/30/2015/iosco-releases-second-questionnaire-cra-and-other-cra-products2020-08-24T18:15Znever https://www.findknowdo.com/news/03/11/2014/iosco-report-compares-and-analyzes-prudential-standards-securities-sector-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/01/11/2013/iosco-report-financial-benchmarks-e.g.-libor-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/04/19/2013/iosco-report-investigating-and-prosecuting-market-manipulation-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/11/27/2013/iosco-research-department-launches-statistics-web-portal-securities-markets2020-08-24T19:31Znever https://www.findknowdo.com/news/02/25/2015/iosco-reviews-implementation-financial-benchmark-principles2020-08-24T19:00Znever https://www.findknowdo.com/news/09/10/2014/iosco-reviews-implementation-pra-principles2020-08-06T23:16Znever https://www.findknowdo.com/news/07/29/2015/iosco-reviews-international-progress-regulation-derivatives-market-intermediaries2020-08-06T23:16Znever https://www.findknowdo.com/news/06/13/2012/iosco-seeks-comment-global-developments-securitisation-regulation2020-08-06T23:16Znever https://www.findknowdo.com/news/09/10/2014/iosco-seeks-comment-proposed-statement-non-gaap-financial-measures2020-12-15T04:30Znever https://www.findknowdo.com/news/07/24/2014/iosco-surveys-use-social-media-and-automated-advice-intermediaries-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/08/04/2014/iosco-survey-effects-storage-warehouses-price-formation-commodity-derivatives-markets-%28-link-streetwise-professor%292021-06-28T17:57Znever https://www.findknowdo.com/news/10/29/2014/iosco-updates-information-repository-central-clearing-requirements-otc-derivatives2021-06-23T21:11Znever https://www.findknowdo.com/news/09/10/2014/iosco-updates-survey-commodity-derivatives-markets-supervisory-principles2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2013/ioscos-final-report-principles-financial-benchmarks-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/03/08/2012/iosco-consultation-report-principles-ongoing-disclosure-asset-backed-securities2020-12-15T05:24Znever https://www.findknowdo.com/news/02/28/2011/iosco-final-report-regulatory-implementation-statement-principles-regarding-activities-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/04/18/2011/iosco-report-task-force-commodity-futures-markets-report-financial-stability-board2020-08-06T23:16Znever https://www.findknowdo.com/news/09/18/2014/ireland-permit-qiaif-loan-originations2021-01-24T05:24Znever https://www.findknowdo.com/news/09/25/2014/irs-adds-new-items-faqs-fatca-igas2020-08-24T19:03Znever https://www.findknowdo.com/news/05/01/2014/irs-amends-fatca-faqs-again2020-08-06T23:16Znever https://www.findknowdo.com/news/06/18/2014/irs-announces-new-streamlined-voluntary-disclosure-procedures-delinquent-taxpayers2021-06-28T16:05Znever https://www.findknowdo.com/news/05/02/2014/irs-announces-relaxed-enforcement-fatca-financial-institutions-2014-20152020-08-24T19:23Znever https://www.findknowdo.com/news/03/17/2015/irs-concludes-non-derivative-contracts-used-shift-fx-risk-are-not-insurance2020-08-06T23:16Znever https://www.findknowdo.com/news/06/09/2014/irs-concludes-partner-dealer-partnership-not-dealer-section-475-mark-market-purposes2020-08-24T19:23Znever https://www.findknowdo.com/news/09/11/2014/irs-concludes-partners-investment-management-llc-are-subject-employment-tax2020-08-24T19:03Znever https://www.findknowdo.com/news/10/26/2012/irs-delays-certain-provisions-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/07/12/2013/irs-extends-commencement-date-fatca-withholding-fatca-registration-and-other-fatca-deadlines-6-months2020-08-24T19:38Znever https://www.findknowdo.com/news/12/01/2014/irs-extends-deadline-igas-be-signed2020-08-24T19:03Znever https://www.findknowdo.com/news/03/04/2014/irs-extends-grandfathering-date-application-new-withholding-rules-equity-linked-instruments2020-08-06T23:16Znever https://www.findknowdo.com/news/12/11/2014/irs-finalizes-foreign-financial-asset-reporting2020-08-24T19:03Znever https://www.findknowdo.com/news/03/28/2014/irs-finalizes-form-w-8ben-e2020-08-24T19:23Znever https://www.findknowdo.com/news/07/18/2014/irs-finalizes-identified-mixed-straddle-rules-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/12/19/2013/irs-finalizes-schema-automatically-exchanging-fatca-data-iga-jurisdiction-and-posts-frequently-asked-questions-ffi-lists-web-site2020-08-06T23:16Znever https://www.findknowdo.com/news/10/14/2014/irs-fixes-glitch-fatca-coordination-regulations-accounts-opened-entities-between-july-1-2014-and-december-31-20142020-08-24T19:03Znever https://www.findknowdo.com/news/05/03/2013/irs-focuses-fatca-guidance-needed-2014-deadlines2020-08-24T19:43Znever https://www.findknowdo.com/news/09/18/2013/irs-issues-corrections-fatca-regulations-and-publishes-faq2020-08-24T19:38Znever https://www.findknowdo.com/news/04/08/2013/irs-issues-draft-fatca-registration-form2020-08-24T19:43Znever https://www.findknowdo.com/news/08/16/2013/irs-issues-draft-tax-form-under-fatca2020-12-15T06:47Znever https://www.findknowdo.com/news/06/10/2014/irs-issues-final-circular-230-regulations-eliminating-special-rules-covered-opinions2020-08-24T19:23Znever https://www.findknowdo.com/news/12/30/2013/irs-issues-final-ffi-agreement-under-fatca2020-08-24T19:31Znever https://www.findknowdo.com/news/06/16/2015/irs-issues-glam-regarding-safe-harbor-rules-involving-renewable-energy-tax-credits-%28-mann-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/05/05/2015/irs-issues-guidance-refunds-and-credits2020-08-06T23:16Znever https://www.findknowdo.com/news/07/22/2014/irs-issues-instructions-requestors-form-w-8s-under-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/06/19/2014/irs-issues-instructions-revised-form-w-8imy2020-08-24T19:23Znever https://www.findknowdo.com/news/03/05/2014/irs-issues-new-draft-fatca-forms-affecting-reporting-account-holder-information-irs2020-08-24T19:23Znever https://www.findknowdo.com/news/06/13/2014/irs-issues-notice-prohibiting-double-dipping-energy-credits-and-related-cash-grants2020-08-06T23:16Znever https://www.findknowdo.com/news/12/31/2013/irs-issues-pfic-reporting-rules2020-08-24T19:31Znever https://www.findknowdo.com/news/04/30/2014/irs-issues-revised-form-w-8imy-hints-delay-fatca-implementation-under-consideration2020-08-24T19:23Znever https://www.findknowdo.com/news/06/27/2014/irs-issues-revised-qualified-intermediary-agreement-under-fatca-and-new-instructions-form-1042-s2020-08-24T19:23Znever https://www.findknowdo.com/news/06/30/2014/irs-issues-technical-corrections-fatca-regulations2020-08-24T19:23Znever https://www.findknowdo.com/news/01/13/2015/irs-launches-international-data-exchange-service-fatca-reporting2020-08-24T19:00Znever https://www.findknowdo.com/news/03/09/2015/irs-lifts-moratorium-mlp-private-letter-rulings-qualifying-income2020-08-24T19:00Znever https://www.findknowdo.com/news/05/13/2014/irs-modifies-fatca-faqs-address-trustee-documented-trusts2020-08-24T19:23Znever https://www.findknowdo.com/news/01/28/2014/irs-official-promises-new-fatca-guidance-soon-denies-rumor-further-delay-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/06/19/2014/irs-officials-discuss-new-proposed-regulations-defining-reit-real-property2020-08-24T19:23Znever https://www.findknowdo.com/news/12/10/2013/irs-outside-advisory-group-calls-additional-postponement-fatca2020-08-24T19:31Znever https://www.findknowdo.com/news/01/09/2015/irs-promises-new-guidance-swaps-20152020-08-06T23:16Znever https://www.findknowdo.com/news/12/04/2013/irs-proposes-new-regulations-payments-equity-swaps-and-other-equity-derivatives-and-extends-current-rules-through-20152020-08-24T19:31Znever https://www.findknowdo.com/news/06/11/2015/irs-provides-additional-guidance-filing-fatca-report2020-08-24T18:15Znever https://www.findknowdo.com/news/03/26/2014/irs-provides-guidance-taxation-bitcoin-and-other-virtual-currency2020-12-15T05:24Znever https://www.findknowdo.com/news/08/12/2015/irs-provides-xml-file-preparation-instructions-new-fatca-online-registration-system2020-08-24T18:15Znever https://www.findknowdo.com/news/10/30/2013/irs-publishes-draft-ffi-agreement-and-previews-additional-guidance-under-fatca2020-08-24T19:31Znever https://www.findknowdo.com/news/02/18/2015/irs-publishes-draft-user-guide-international-data-exchange-services2021-06-21T20:37Znever https://www.findknowdo.com/news/05/06/2014/irs-publishes-new-instructions-form-10422020-08-24T19:23Znever https://www.findknowdo.com/news/03/05/2014/irs-publishes-revised-forms-w-8ben-and-w-8eci-affecting-reporting-obligations-under-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/06/25/2014/irs-releases-instructions-form-w-8ben-e-and-form-89662020-08-24T19:23Znever https://www.findknowdo.com/news/03/01/2013/irs-releases-internal-memorandum-historic-rehabilitation-credits-impacts-energy-credits2020-08-24T19:43Znever https://www.findknowdo.com/news/05/08/2015/irs-releases-proposed-regulations-mlp-relating-minerals-and-natural-resources2020-08-06T23:16Znever https://www.findknowdo.com/news/12/13/2013/irs-reminds-foreign-financial-institutions-fatca-registration-becomes-live-january-12020-08-24T19:31Znever https://www.findknowdo.com/news/04/24/2014/irs-revises-fatca-faqs2020-08-24T19:23Znever https://www.findknowdo.com/news/06/25/2014/irs-revises-ffi-agreement2020-08-24T19:23Znever https://www.findknowdo.com/news/06/12/2014/irs-revises-user-guide-fatca-reporting2020-08-24T19:23Znever https://www.findknowdo.com/news/03/10/2014/irs-rules-income-fracking-activities-qualified-income-under-publicly-traded-partnership-code2020-08-24T19:23Znever https://www.findknowdo.com/news/04/21/2014/irs-ruling-income-supplying-and-transporting-fluids-used-fracking-qualified-income-ptp-purposes2020-08-24T19:23Znever https://www.findknowdo.com/news/04/15/2014/irs-amend-pfic-regulations-eliminate-pfic-ownership-through-tax-exempt-organizations-and-accounts2020-08-24T19:23Znever https://www.findknowdo.com/news/09/18/2014/irs-unveils-data-transmission-service-fatca-iga-reporting2020-08-24T19:03Znever https://www.findknowdo.com/news/03/26/2015/irs-updates-faqs-address-fatca-reports-%28form-8966%292020-08-06T23:16Znever https://www.findknowdo.com/news/03/26/2015/irs-updates-fatca-ides-technical-faqs2020-08-06T23:16Znever https://www.findknowdo.com/news/10/07/2014/irs-updates-fatca-online-registration-and-issues-revised-fatca-user-guide2020-08-24T19:03Znever https://www.findknowdo.com/news/12/30/2013/irs-updates-frequently-asked-questions-fatca-registration2020-08-24T19:31Znever https://www.findknowdo.com/news/03/17/2015/irs-updates-guidance-production-tax-credit-and-investment-tax-credit-eligibility-%28notice-2015-25%292020-08-06T23:16Znever https://www.findknowdo.com/news/03/10/2015/irs-updates-instructions-reporting-specified-foreign-financial-assets2020-08-06T23:16Znever https://www.findknowdo.com/news/01/06/2015/irs-updates-tax-forms-and-publication-515-%28-withholding%29-reflect-guidance-regarding-fatca2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2011/isda-sifma2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/14/2011/isda-2011-operations-benchmarking-survey2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/14/2011/isda-2011-preliminary-margin-survey-results-collateralization-central-counterparties-highlighted2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/09/2012/isda-and-afme-letter-warning-against-european-clearing-capital-rules2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/19/2014/isda-and-fia-europe-publish-european-cleared-derivatives-execution-agreement2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/20/2014/isda-and-fia-europe-submit-joint-response-esma-consultation-paper-emir-clearing-obligation2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/21/2012/isda-and-markit-begin-buy-side-onboarding-dodd-frank-compliance-solution-%28news-release%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/09/24/2013/isda-and-markit-publish-cross-border-swaps-representations-isda-amend2026-04-15T21:28Zyearly https://www.findknowdo.com/news/12/06/2011/isda-and-sifma-file-lawsuits-challenging-commodity-futures-trading-commissions-rule-position-limits-%28press-release%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/23/2013/isda-and-sifma-v.-cftc-court-date-set-oral-arguments-position-limits2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/04/2011/isda-announces-annual-determinations-committees-outcome2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/31/2011/isda-announces-new-commitments-global-supervisors-help-make-otc-derivatives-markets-safe-and-efficient2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/02/2015/isda-announces-simm-licensing-program-non-cleared-derivatives2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/11/2013/isda-august-df-protocol-new-materials-only-13-days-left-until-may-1st2026-04-15T21:28Zyearly https://www.findknowdo.com/news/12/01/2014/isda-board-directors-appoints-eric-litvack-new-chair2026-04-15T21:28Zyearly https://www.findknowdo.com/news/07/08/2015/isda-calls-amendment-single-name-cds-roll-frequency2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/08/2015/isda-ceo-omalia-argues-trading-rule-harmonization-%28-lofchie-comment%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/11/2015/isda-ceo-omalia-discusses-cross-border-harmonization-issues-%28-lofchie-comment-and-video-selection%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/10/02/2014/isda-ceo-scott-omalia-remarks-isda-priorities-stresses-cross-border-harmonization2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/20/2011/isda-cleared-swaps-comment-letter2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/11/2011/isda-comment-letter-general-regulations-and-derivatives-clearing-organizations2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/21/2011/isda-comment-letter-fsocs-proposed-rulemaking-authority-designate-financial-market-utilities-systemically-important2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/30/2011/isda-comments-draft-amendments-implementation-eu-collateral-directive-romania2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/02/2011/isda-comments-fasb/iasb-exposure-draft-re-offsetting-financial-assets-and-financial-liabilities2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/02/2011/isda-comments-ownership-limitations-and-governance-requirements-proposed-regulation-mc2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/01/2011/isda-comments-proposals-issued-iasb-and-fasb2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/02/2011/isda-comments-sec-proposed-rulemaking-clearing-agency-standards-operation-and-governance2026-04-15T21:28Zyearly https://www.findknowdo.com/news/09/28/2012/isda-comments-recommendations-uks-financial-services-authority-libor2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/06/2013/isda-derivatives/fx-prime-brokerage-business-conduct-allocation-protocol-%28notice-publication%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/08/2012/isda-determination-committee-declares-no-credit-event-greece2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/04/2011/isda-determinations-committee-resolves-one-or-more-auctions-may-be-held-anglo-irish2026-04-15T21:28Zyearly https://www.findknowdo.com/news/07/06/2015/isda-initiates-tender-process-isda-simm%28tm%29-crowdsourcing-utility2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/12/2014/isda-issues-draft-response-position-limits-and-position-reporting-mifid-commodities2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/10/2014/isda-issues-monthly-swaps-analysis-february-20142026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/17/2015/isda-issues-swapsinfo-2014-year-review2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/12/2014/isda-issues-updated-credit-derivatives-definitions2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/17/2015/isda-launches-brrd-implementation-monitor2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/04/2011/isda-launches-initiative-promote-portfolio-reconciliation-and-reduce-risk-asia-pacific-region2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/06/2014/isda-launches-new-swapsinfo-web-site2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/11/2015/isda-margin-survey-shows-implications-continued-shift-central-clearing2026-04-15T21:28Zyearly https://www.findknowdo.com/news/07/20/2015/isda-marks-progress-and-continuing-challenges-5-year-review-dodd-frank-act2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/20/2011/isda-memo-arbitration-derivatives2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/27/2012/isda-memo-isda-dodd-frank-documentation-initiative-disclosure-documents2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/28/2012/isda-no-action-request-cftc-regarding-swap-documentation-rules-23.502-and-23.5042026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/01/2015/isda-outlines-path-forward-centralized-execution-swaps2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/26/2011/isda-provides-comments-draft-regulations-registration-swap-dealers-and-major-swap-participants2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/24/2011/isda-publication-syndicated-secured-loan-contingent-credit-default-swap-transaction2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/07/2013/isda-publishes-2013-standard-credit-support-annex-%28scsa%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/09/12/2012/isda-publishes-appendix-version-2.0-main-book-2011-equity-definitions2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/13/2012/isda-publishes-august-2012-dodd-frank-protocol-isda-and-markit-launch-isda-amend-automate-process2026-04-15T21:28Zyearly https://www.findknowdo.com/news/10/11/2013/isda-publishes-isda-2013-account-control-agreement2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/21/2014/isda-publishes-isda-2014-credit-derivatives-definitions2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/13/2013/isda-publishes-paper-examining-non-cleared-otc-derivatives-and-their-importance-global-economy2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/26/2015/isda-publishes-paper-key-principles-improving-regulatory-transparency-and-derivatives-trade-reporting2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/30/2011/isda-publishes-paper-outlining-its-views-swap-execution-facilities-%28sefs%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/09/2014/isda-publishes-research-papers-value-otc-derivatives2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/22/2015/isda-publishes-research-study-about-u.s.-sefs-impact-global-derivatives-markets-and-global-liquidity-pools2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/28/2011/isda-publishes-single-name-cds-swaption-standard-terms-supplement-and-credit-default-swaption-confirmation2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/20/2011/isda-publishes-standard-terms-supplement-and-confirmation-syndicated-secured-loan-contingent-credit-default-swap-transaction2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/11/2014/isda-publishes-study-central-clearing-equity-derivatives-market2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/08/2013/isda-publishes-isda-2013-ice-brent-protocol2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/06/2011/isda-publishes-onshore-single-name-cds-confirmation-referencing-korean-entities2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/26/2013/isda-publishes-updates-disclosure-documents-part-dodd-frank-documentation-initiative2026-04-15T21:28Zyearly https://www.findknowdo.com/news/06/20/2013/isda-publishes-year-end-2012-market-analysis-portfolio-compression-and-central-clearing-continue-impact-size-otc-derivatives-market2026-04-15T21:28Zyearly https://www.findknowdo.com/news/12/21/2010/isda-reacts-lbie-judgment2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/20/2013/isda-releases-outlined-approach-cross-border-issues-%28-lofchie-comment%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/26/2011/isda-releases-equity-derivatives-transparency-studies2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/04/2011/isda-releases-fpml-survey2026-04-15T21:28Zyearly https://www.findknowdo.com/news/04/14/2011/isda-releases-white-paper-product-representation-standardized-derivatives2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/11/2015/isda-requests-delay-effective-date-dividend-equivalent-regulations2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/01/2011/isda-responds-european-commission-green-paper-european-contract-law2026-04-15T21:28Zyearly https://www.findknowdo.com/news/09/28/2012/isda-response-bcbs-and-iosco-consultative-document-margin-requirements-non-centrally-cleared-derivatives2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/20/2013/isda-sends-additional-comments-treasury-and-irs-regarding-fatcas-impact-spvs-and-posted-collateral2026-04-15T21:28Zyearly https://www.findknowdo.com/news/05/19/2014/isda-sends-new-comments-treasury-and-irs-proposed-dividend-equivalent-regulations-and-fatca2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/18/2011/isda-submission-csa-paper-regulation-otc-derivatives-regulation-canada2026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/22/2014/isda-submits-letter-bcbs-and-iosco-regarding-concerns-implementation-derivatives-rules2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/03/2011/isda-updates-greek-sovereign-debt-qa2026-04-15T21:28Zyearly https://www.findknowdo.com/news/09/28/2012/isda-v.-cftc-court-vacates-position-limits-rule-%28-lofchie-comment%29-%28-music-eastern-institute-technology%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/isdas-comment-letter-iasbs-request-views-effective-dates-and-transition-methods2026-04-15T21:28Zyearly https://www.findknowdo.com/news/11/28/2012/isdas-initial-margin-analysis-uncleared-swaps2026-04-15T21:28Zyearly https://www.findknowdo.com/news/07/23/2015/isda-efet-and-fia-europe-call-extension-exemptions-capital-requirements-regime-commodity-dealers2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/04/2011/isda/sifma-comment-letter-antidisruptive-practices-authority2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/20/2012/isda/sifma-comment-letter-cftcs-proposed-rule-regarding-swaps-between-affiliates-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2011/isda/sifma-pre-comment-position-limits2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/20/2011/isda/sifma-reporting-and-dissemination-security-based-swap-information-comment-letter2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/20/2011/isda/sifma/fia-conflicts-interest-comment-letter2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/25/2013/isda-additional-provisions-relating-credit-derivative-transactions-a-restricted-delivery-party2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/30/2011/isda-sef-rules-should-provide-greater-choice-access-and-liquidity-otc-derivatives-market-participants2026-04-15T21:28Zyearly https://www.findknowdo.com/news/02/01/2011/isdas-comment-letter-npr-protection-collateral-counterparties-uncleared-swaps2026-04-15T21:28Zyearly https://www.findknowdo.com/news/01/25/2011/isdas-comment-letter-registration-swap-dealers-and-major-swap-participants2026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/30/2011/isdas-comment-letter-section-871%28m%29-internal-revenue-code-19862026-04-15T21:28Zyearly https://www.findknowdo.com/news/03/01/2011/isdas-comments-cftcs-npr-confirmation-portfolio-reconciliation-and-portfolio-compression-requirements2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/08/2011/isdas/sifmas-comment-letter-cftc-17-cfr-parts-23-43-452026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/isla-releases-report-best-practice-fixed-income-loan-redemption-and-coupon-collection2021-06-11T17:17Znever https://www.findknowdo.com/news/03/05/2014/isle-man-ratifies-fatca-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/01/06/2011/issuers-fighting-provision-secs-proposed-rules-municipal-advisers2020-12-15T05:24Znever https://www.findknowdo.com/news/01/14/2014/italy-signs-fatca-intergovernmental-agreement-united-states2020-08-24T19:31Znever https://www.findknowdo.com/news/12/23/2010/its-not-transparently-clear-transparency-increases-competition2020-12-15T04:56Znever https://www.findknowdo.com/news/06/16/2014/j.-christopher-giancarlo-sworn-cftc-commissioner2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/18/2012/james-burns-named-deputy-director-secs-division-trading-and-markets-%28sec-press-release%292020-08-06T23:16Znever https://www.findknowdo.com/news/08/20/2013/jane-jarcho-named-head-sec-investment-adviser/investment-company-examination-program2021-01-24T01:47Znever https://www.findknowdo.com/news/10/09/2013/janet-yellen-nominated-chair-federal-reserve2020-12-15T04:30Znever https://www.findknowdo.com/news/02/03/2014/janet-yellen-sworn-chair-frb2026-04-15T21:18Zyearly https://www.findknowdo.com/news/02/08/2011/january-2011-supplement-options-disclosure-document2021-08-05T16:22Znever https://www.findknowdo.com/news/06/12/2013/japan-signs-fatca-iga-u.s.2020-08-24T19:38Znever https://www.findknowdo.com/news/12/03/2013/javelin-sef-submits-more-limited-mat-determination-cftc-%28-sifma-amg-comment-letter-and-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2012/jennifer-mchugh-named-senior-advisor-secs-division-investment-management2020-08-06T23:16Znever https://www.findknowdo.com/news/04/17/2012/jobs-act-frequently-asked-questions-%28sec%292020-12-04T23:35Znever https://www.findknowdo.com/news/08/15/2012/jobs-act-receives-praise-house-financial-services-committee2020-08-24T19:53Znever https://www.findknowdo.com/news/09/16/2011/jobs-main-street-vs.-wall-street-choice-should-be-clear-%28speech%292020-12-15T04:21Znever https://www.findknowdo.com/news/12/12/2012/john-davidson-joins-finra-board-governors2020-08-06T23:16Znever https://www.findknowdo.com/news/12/17/2012/john-ramsay-named-acting-director-secs-division-trading-and-markets-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/10/18/2012/joint-cautionary-letter-eu-france-japan-and-uk-cftc-u.s.-cross-border-swaps-regulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/11/2011/joint-cftc-sec-advisory-committee-emerging-regulatory-issues2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/01/2014/joint-forum-international-regulatory-organizations-issues-final-paper-point-sale-disclosure-insurance-banking-and-securities-sectors2020-12-15T02:57Znever https://www.findknowdo.com/news/02/05/2015/joint-forum-international-regulatory-organizations-issues-publication-credit-risk-management-across-sectors2020-12-15T03:45Znever https://www.findknowdo.com/news/09/04/2014/joint-forum-international-regulatory-organizations-issues-report-supervisory-colleges-financial-conglomerates2020-08-06T23:16Znever https://www.findknowdo.com/news/10/11/2012/joint-forum-publishes-principles-supervision-financial-conglomerates-%28-lofchie-comment%292020-12-15T04:20Znever https://www.findknowdo.com/news/06/02/2015/joint-forum-releases-report-credit-risk-management-across-sectors-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/05/07/2013/joint-letter-cftc-regarding-use-tri-party-custody-accounts-secure-futures-margin-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/09/2012/joint-press-release-banking-agencies-provide-guidance-regulatory-capital-rulemakings2020-12-15T04:57Znever https://www.findknowdo.com/news/04/28/2011/joint-public-roundtable-issues-related-schedule-implementing-final-rules-swaps-and-security-based-swaps-under-dodd-frank-wall-street-reform-and-consumer-protection-act2020-12-15T03:13Znever https://www.findknowdo.com/news/12/03/2012/joint-request-temporary-exclusion-investment-securitization-vehicle-commodity-interest2020-12-15T06:22Znever https://www.findknowdo.com/news/04/25/2013/joint-sec-no-action-letter-regarding-insurance-networking-arrangements2023-05-22T23:29Znever https://www.findknowdo.com/news/12/04/2012/joint-statement-leaders-operating-principles-and-areas-exploration-regulation-cross-border-otc-derivatives-market-%28-lofchie-comment%292020-12-15T04:00Znever https://www.findknowdo.com/news/05/08/2012/joint-statement-regulation-otc-derivatives-markets-%28sec-press-release%292020-12-15T04:09Znever https://www.findknowdo.com/news/01/12/2011/joint-trade-association-letter-response-recent-doj-letter-ownership-and-governance-clearing-entities2020-12-15T04:29Znever https://www.findknowdo.com/news/04/30/2013/jonathan-s.-sokobin-named-finras-chief-economist-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/09/19/2013/jpmorgan-chase-agrees-pay-penalties2020-12-04T23:35Znever https://www.findknowdo.com/news/09/24/2013/jpmorgan-dismissed-amaranth-futures-suit-2nd-circuit-rules2020-12-15T05:18Znever https://www.findknowdo.com/news/10/03/2014/jpmorgan-issues-paper-resolution-plan-central-clearing-parties-%28-lofchie-comment%292020-12-15T05:51Znever https://www.findknowdo.com/news/10/16/2013/judge-enters-default-judgment-against-bernie-madoffs-brother2021-01-24T05:23Znever https://www.findknowdo.com/news/06/18/2014/judge-grants-amici-motion-leave-file-brief-support-cftc-cftc-submits-notice-supplemental-authority-sifma-v.-cftc-cross-border-guidance-case-%28-lofchie-comment%292021-01-20T13:54Znever https://www.findknowdo.com/news/04/24/2011/julius-leiman-carbia-named-head-secs-national-broker-dealer-examination-program2020-08-06T23:16Znever https://www.findknowdo.com/news/08/06/2012/july-2012-monthly-recap-revisit-latest-finra-notices-compliance-resources-and-news-%28finra-podcast%292020-08-06T23:16Znever https://www.findknowdo.com/news/06/24/2015/june-30-fbar-filing-deadline-approaches2021-06-18T20:41Znever https://www.findknowdo.com/news/12/16/2014/jury-finds-bankatlantic-bancorp-and-ceo-guilty-securities-fraud2021-06-23T02:06Znever https://www.findknowdo.com/news/08/09/2013/kara-stein-sworn-sec-commissioner2020-08-24T19:38Znever https://www.findknowdo.com/news/02/01/2011/ketchum-fiduciary-standard-not-happening-until-mid-20122020-12-15T03:26Znever https://www.findknowdo.com/news/11/18/2013/key-differences-between-recent-cftc-position-limits-proposal-and-previously-vacated-final-position-limits-rule-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/01/2012/key-mechanics-u.s.-tri-party-repo-market-%28-lofchie-comment%292020-12-15T06:34Znever https://www.findknowdo.com/news/02/20/2014/key-points-sec-strategic-plan-2014-2018-%28-delta-strategy-group-summary-and-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/07/2011/keynote-address-sifma-anti-money-laundering-seminar2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/12/2011/keynote-address-edison-electric-institute-cftc-dodd-frank-compliance-forum-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/07/2014/keynote-address-commissioner-omalia-tabb-forum-event-regarding-evolving-market-structure-%28-lofchie-comment%292020-12-15T04:12Znever https://www.findknowdo.com/news/04/07/2014/keynote-address-commissioner-scott-d.-omalia-new-risk-energy-conference-2014-%28-lofchie-comment%292020-12-15T04:32Znever https://www.findknowdo.com/news/06/03/2015/kraft-foods-petitions-court-dismiss-cftcs-charge-it-manipulated-wheat-futures-and-cash-wheat-prices2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/07/2012/latest-advisers-act-enforcement-actions2020-08-24T19:59Znever https://www.findknowdo.com/news/09/28/2012/launch-ice-futures-europe-swap-futures-contracts-contract-rules-and-procedures-%28-lofchie-comment%292021-06-11T18:10Znever https://www.findknowdo.com/news/08/08/2014/law-professor-stephen-j.-lubben-calls-nationalization-event-insolvency-ccp-%28-lofchie-comment%292020-12-15T05:43Znever https://www.findknowdo.com/news/01/15/2015/law-professors-issue-joint-statement-urging-sec-commissioner-gallagher-withdraw-allegations-against-harvard-law-school-clinic2020-12-15T06:49Znever https://www.findknowdo.com/news/01/24/2013/lbie-administrators-publish-first-interim-client-money-distribution-update-%28-lofchie-comment%292020-12-15T04:34Znever https://www.findknowdo.com/news/02/01/2011/lbie-joint-administrators-amend-claim-resolution-agreement2021-06-11T20:08Znever https://www.findknowdo.com/news/08/15/2014/lbma-silver-price-launches-new-era-pricing-precious-metals2021-06-28T18:00Znever https://www.findknowdo.com/news/01/31/2011/lch-clearnet-ltd-updated-rulebook2021-06-11T20:12Znever https://www.findknowdo.com/news/03/02/2011/lch.-clearnet-rulebook-updates2021-06-11T19:37Znever https://www.findknowdo.com/news/11/29/2011/lch.clearnet-introduces-clearing-turquoise2021-06-11T17:30Znever https://www.findknowdo.com/news/12/16/2014/legitimacy-spoofing-prosecution-questioned2020-12-15T03:14Znever https://www.findknowdo.com/news/04/15/2011/lehman-brothers-international-%28europe%29-administration-30-month-progress-update2021-06-11T17:29Znever https://www.findknowdo.com/news/06/21/2012/lending-limits-%28occ-interim-final-rule-and-request-comments%292020-12-15T06:56Znever https://www.findknowdo.com/news/01/19/2012/letter-regarding-status-non-liquid-assets-being-transferred-third-bulk-transfer-%28letter%292020-12-15T05:17Znever https://www.findknowdo.com/news/04/13/2011/letter-global-regulators-regarding-safety-otc-derivatives-market2021-06-11T18:43Znever https://www.findknowdo.com/news/03/18/2011/leverage-maturity-transformation-and-financial-stability-challenges-beyond-basel-iii2020-09-28T15:13Znever https://www.findknowdo.com/news/04/24/2013/levin-urges-cftc-apply-u.s.-derivatives-rules-non-u.s.-affiliates-u.s.-firms-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2013/liquidity-coverage-ratio-proposed-banking-regulations-%28pre-fed.-reg.-version%292021-06-12T21:58Znever https://www.findknowdo.com/news/12/26/2012/list-section-13%28f%29-securities2020-08-24T19:46Znever https://www.findknowdo.com/news/04/05/2011/listing-standards-compensation-committees2020-12-03T11:19Znever https://www.findknowdo.com/news/07/13/2012/listing-standards-compensation-committees-and-disclosure-regarding-compensation-consultant-conflicts-interest-%28sec-final-rules-and-amendments%292020-12-15T06:43Znever https://www.findknowdo.com/news/03/17/2013/living-will-deadline-non-u.s.-banks-approaching2020-12-15T04:38Znever https://www.findknowdo.com/news/09/21/2012/lma-introduces-new-facility-agreement-developing-market-jurisdictions2021-06-11T21:42Znever https://www.findknowdo.com/news/04/15/2011/lma-electronic-loan-trading-platform-become-available-soon2021-06-11T18:45Znever https://www.findknowdo.com/news/03/01/2011/lma-explanatory-memo-re-february-2011-revisions-and-revised-documents-mark-ups-%28dated-25-february-2011-published-25-march-2011%292021-06-11T19:43Znever https://www.findknowdo.com/news/06/10/2014/lmba-silver-price-consultation-survey-responses-call-electronic-silver-fix2021-06-17T15:39Znever https://www.findknowdo.com/news/05/30/2013/loan-originator-compensation-requirements-under-truth-lending-act-%28reg.-z%29-prohibition-financing-credit-insurance-premiums-delay-effective-date-%28cfpb-pre-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/12/17/2012/lona-nallengara-named-acting-director-secs-division-corporation-finance2020-08-06T23:16Znever https://www.findknowdo.com/news/11/03/2011/london-stock-exchange-completes-transaction-reporting-service-acquisition2021-06-11T17:46Znever https://www.findknowdo.com/news/11/01/2011/london-stock-exchange-group-obtains-oft-clearance-fsa-transaction-reporting-service-acquisition2021-06-11T18:09Znever https://www.findknowdo.com/news/01/23/2013/lost-securityholders-and-unresponsive-payees-final-rule-%28sec-fed.-reg.-version%292020-12-03T05:45Znever https://www.findknowdo.com/news/01/17/2013/lost-securityholders-and-unresponsive-payees-final-rule-%28sec-pre-fed.-reg.-version%292020-12-03T05:45Znever https://www.findknowdo.com/news/05/21/2013/lpl-pay-9-million-systemic-email-failures-and-making-misstatements-finra2020-12-03T21:58Znever https://www.findknowdo.com/news/02/11/2011/lse-merges-tmx-group2021-06-11T19:54Znever https://www.findknowdo.com/news/04/24/2013/lsta-and-sifma-ask-treasury-modify-requirements-certified-deemed-compliant-status-certain-securitization-vehicles-%28-mulcahy-description%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/28/2014/luxembourg-signs-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/12/18/2013/malta-signs-fatca-iga-united-states-other-fatca-developments2020-08-24T19:31Znever https://www.findknowdo.com/news/02/09/2011/managed-funds-association2021-06-11T17:13Znever https://www.findknowdo.com/news/02/19/2013/managed-funds-association-submits-comment-letter-cftc-proposed-rules-enhancing-customer-protections-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/22/2012/management-report-opportunities-improvement-bureau-consumer-financial-protections-internal-controls-and-accounting-procedures-%28dodd-frank-study%292020-08-24T19:59Znever https://www.findknowdo.com/news/03/01/2013/manal-corwin-leaves-treasury2020-08-24T19:43Znever https://www.findknowdo.com/news/09/26/2012/manual-edgar-submitting-draft-registration-statements/amendments-and-filing-them-accordance-jobs-act2020-12-15T03:07Znever https://www.findknowdo.com/news/04/03/2013/marc-fagel-director-san-francisco-office-leave-sec2020-08-06T23:16Znever https://www.findknowdo.com/news/04/28/2011/margin-requirements-uncleared-swaps-swap-dealers-and-major-swap-participants2020-12-15T06:53Znever https://www.findknowdo.com/news/05/13/2011/margin-requirements-uncleared-swaps-swap-dealers-and-major-swap-participants-%28extension-deadline%292020-12-15T04:25Znever https://www.findknowdo.com/news/07/12/2012/margin-requirements-uncleared-swaps-swap-dealers-and-major-swap-participants-extension-comment-period-%28cftc-rule-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/10/2011/margin-rule-should-focus-banks-cftcs-gensler2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/09/2011/margin-rules-day-trading2020-08-06T23:16Znever https://www.findknowdo.com/news/12/12/2013/mark-wetjen-appointed-chair-cftc-global-markets-advisory-committee-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/28/2012/market-participants-comments-et-guidance2020-12-15T05:54Znever https://www.findknowdo.com/news/01/07/2014/market-participants-file-amended-complaint-challenging-cftc-cross-border-guidance2021-01-20T13:54Znever https://www.findknowdo.com/news/07/10/2013/market-participants-file-lawsuit-challenging-cftc-cross-border-guidance-being-rule-adopted-violation-apa-%28-lofchie-comment%292021-01-20T13:54Znever https://www.findknowdo.com/news/01/16/2014/market-participants-file-opposition-cftcs-motion-delay-judgment-lawsuit-challenging-cftc-cross-border-guidance2021-01-20T13:55Znever https://www.findknowdo.com/news/01/28/2014/market-participants-file-statement-explain-their-standing-lawsuit-challenging-cftc-cross-border-guidance2021-01-20T13:54Znever https://www.findknowdo.com/news/04/09/2014/market-participants-support-challenge-cftc-cross-border-guidance2021-01-20T13:54Znever https://www.findknowdo.com/news/11/03/2011/market-watch-issue-no.412020-08-06T23:16Znever https://www.findknowdo.com/news/08/25/2014/markets-close-labor-day-%28-lofchie-video-selection%292021-06-23T21:38Znever https://www.findknowdo.com/news/01/30/2013/martin-pfinsgraff-named-acting-head-large-bank-supervision2021-06-14T15:20Znever https://www.findknowdo.com/news/04/10/2013/mary-jo-white-sworn-31st-sec-chair2020-08-24T19:43Znever https://www.findknowdo.com/news/03/03/2014/mary-miller-touts-treasurys-2013-accomplishments-and-2014-priorities-%28-lofchie-comment%292020-12-15T05:16Znever https://www.findknowdo.com/news/11/06/2012/massey-reappointed-two-year-term-representing-nasaa-fsoc2024-02-03T22:51Znever https://www.findknowdo.com/news/01/24/2011/massive-fail2020-12-15T06:51Znever https://www.findknowdo.com/news/01/31/2014/mauritius-signs-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/01/21/2011/meeting-announcement2020-12-15T02:37Znever https://www.findknowdo.com/news/03/18/2015/members-congress-send-letter-sec-chair-white-regarding-finalization-pay-ratio-disclosure-rules2020-12-04T23:35Znever https://www.findknowdo.com/news/06/07/2012/memorandum-understanding-supervisory-coordination-%28cfpb-fdic-frb-ncua-and-occ-joint-release%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/15/2012/memorandum-understanding-concerning-consultation-cooperation-and-exchange-information-related-supervision-cross-border-regulated-entities2020-08-06T23:16Znever https://www.findknowdo.com/news/02/09/2011/memorandum-all-primary-dealers-and-recipients-weekly-press-release-dealer-positions-and-transactions2020-12-15T05:19Znever https://www.findknowdo.com/news/10/05/2012/meps-outline-reforms-financial-trading-rules2020-08-06T23:16Znever https://www.findknowdo.com/news/08/14/2014/mercatus-center-technology-policy-program-submits-comments-new-york-dfs-proposed-virtual-currency-framework2022-07-27T22:56Znever https://www.findknowdo.com/news/03/13/2014/mercatus-scholar-adam-ozimeks-paper-prediction-markets2021-06-17T15:19Znever https://www.findknowdo.com/news/05/13/2015/mercatus-scholar-asserts-cisa-threatens-privacy-and-security2020-12-19T22:24Znever https://www.findknowdo.com/news/03/27/2014/mercatus-scholar-george-h.-k.-wangs-paper-securities-transaction-taxes-potential-effect-equity-and-futures-markets2020-08-06T23:16Znever https://www.findknowdo.com/news/02/25/2015/mercatus-scholar-hester-peirce-cautions-against-macroprudential-regulation-%28-lofchie-comment%292020-12-15T04:03Znever https://www.findknowdo.com/news/04/22/2015/mercatus-scholar-hester-peirce-discusses-regulation-form-big-bank-coercion2020-08-06T23:16Znever https://www.findknowdo.com/news/06/19/2014/mercatus-scholar-hester-peirce-discusses-how-sec-should-renew-its-mission2020-08-06T23:16Znever https://www.findknowdo.com/news/08/14/2014/mercatus-scholar-hester-peirce-discusses-living-wills-banks2020-12-15T06:36Znever https://www.findknowdo.com/news/12/03/2014/mercatus-scholar-hester-peirce-discusses-regulators-failure-follow-own-rules-%28-lofchie-comment%292020-12-15T05:15Znever https://www.findknowdo.com/news/11/10/2014/mercatus-scholar-hester-peirce-discusses-cftcs-informal-methods-regulation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/13/2013/mercatus-scholar-hester-peirce-expanding-authority-frb-initiated-dodd-frank-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/04/23/2014/mercatus-scholar-hester-peirce-gao-report-concerning-information-security-sec-%28-lofchie-comment%292020-12-15T06:05Znever https://www.findknowdo.com/news/05/01/2014/mercatus-scholar-hester-peirces-study-securities-lending-and-untold-story-collapse-aig-%28-lofchie-comment%292020-09-28T15:13Znever https://www.findknowdo.com/news/04/30/2015/mercatus-scholars-assert-federal-agencies-failed-their-2014-cyber-report-card2021-03-20T16:46Znever https://www.findknowdo.com/news/08/03/2015/mercatus-scholars-critique-cfpb-arbitration-study-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/02/26/2014/mercatus-scholars-issue-study-quantifying-dodd-franks-regulatory-restrictions-%28-lofchie-comment%292021-06-28T15:54Znever https://www.findknowdo.com/news/03/31/2014/mercatus-scholars-issue-study-regarding-shortcomings-sec-use-economic-analysis2020-08-24T19:23Znever https://www.findknowdo.com/news/07/20/2015/mercatus-scholars-quantify-surge-regulatory-restrictions-after-dodd-frank-act2020-08-24T18:15Znever https://www.findknowdo.com/news/01/20/2015/mercatus-scholars-study-relationship-between-cybersecurity-breaches-and-federal-cybersecurity-spending2021-03-20T16:47Znever https://www.findknowdo.com/news/02/06/2015/mercatus-scholars-submit-comment-letter-regarding-finras-rule-proposal-implement-cards-%28-lofchie-comment%292021-06-21T21:12Znever https://www.findknowdo.com/news/01/14/2015/metlife-ask-federal-court-review-sifi-designation2020-12-15T03:56Znever https://www.findknowdo.com/news/11/29/2012/mexico-and-united-states-sign-fatca-iga2020-08-24T19:51Znever https://www.findknowdo.com/news/11/04/2011/mf-global-uk-enters-special-administration-regime2020-08-06T23:16Znever https://www.findknowdo.com/news/11/12/2012/mf-global-uk-high-court-judgment-limits-potential-recovery-u.s.-investors-%28-lofchie-comment%292020-08-06T23:16Znever https://www.findknowdo.com/news/02/01/2011/mfa2020-12-15T02:21Znever https://www.findknowdo.com/news/05/17/2013/mfa-and-aima-letter-bafin-interpretation-german-hft-law2020-12-03T01:33Znever https://www.findknowdo.com/news/08/19/2013/mfa-and-aima-submit-comments-secs-proposed-cross-border-rules-security-based-swaps2022-01-05T02:49Znever https://www.findknowdo.com/news/05/27/2014/mfa-and-aima-submit-joint-comment-letter-cftc-swap-data-reporting-rules2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2013/mfa-and-aima-submit-joint-comments-australian-treasury-draft-investment-manager-regime-legislation2021-06-14T13:21Znever https://www.findknowdo.com/news/10/16/2013/mfa-and-aima-submit-joint-letter-about-fsb-consultation-key-attributes-resolution-regimes-non-bank-financial-institutions2020-08-24T19:31Znever https://www.findknowdo.com/news/05/05/2014/mfa-and-aima-submit-joint-letter-australian-treasury-draft-imr-legislation2020-08-24T19:23Znever https://www.findknowdo.com/news/02/06/2013/mfa-and-aima-submit-joint-letter-cftc-further-proposed-cross-border-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/23/2013/mfa-and-aima-submit-letter-cftc-cross-border-exemptive-order-asking-delay-reporting-requirements-and-changes-status-u.s.-person2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/16/2013/mfa-and-aima-submit-letter-esma-contracts-having-effect-within-eu2020-08-24T19:38Znever https://www.findknowdo.com/news/09/12/2013/mfa-and-aima-submit-letter-esma-emir-clearing-obligation2021-06-13T14:38Znever https://www.findknowdo.com/news/02/19/2013/mfa-and-aima-submit-letter-esma-short-selling-measures2020-08-06T23:16Znever https://www.findknowdo.com/news/09/05/2012/mfa-and-bny-mellon-release-industry-white-paper-focused-hedge-funds-and-risk-management2021-06-15T19:37Znever https://www.findknowdo.com/news/11/12/2012/mfa-and-iaa-letter-cftc-request-delayed-cpo-and-cta-compliance-date-respect-funds-funds2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/21/2013/mfa-and-other-trade-associations-submit-letter-cftc-staff-requesting-extension-rule-1.73-bunched-order-agreement-compliance-date2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/08/2012/mfa-and-other-trade-associations-submit-summary-lsoc-issues-cftc-commissioners2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/23/2014/mfa-and-others-file-petition-rulemaking-amend-certain-cpo/cta-recordkeeping-requirements-%28-mehta-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/06/10/2014/mfa-announces-new-mifid-web-resource2020-08-24T19:23Znever https://www.findknowdo.com/news/01/07/2015/mfa-blog-discusses-new-aifmd-reporting-deadline-january-302020-08-24T19:00Znever https://www.findknowdo.com/news/10/24/2013/mfa-blog-post-reports-increased-transparency-rules-worry-hong-kong-regulators2020-08-24T19:31Znever https://www.findknowdo.com/news/08/27/2013/mfa-blog-aifmd-rules-absent-sixteen-european-union-member-states2021-06-12T11:27Znever https://www.findknowdo.com/news/03/31/2014/mfa-blog-cftc-preparing-new-compliance-measures-european-swaps-trading-platforms2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/13/2014/mfa-blog-cftc-ready-push-interest-rate-swaps-trading-platforms2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/05/2013/mfa-blog-ecb-report-notes-benefits-high-frequency-trading2020-12-03T01:33Znever https://www.findknowdo.com/news/09/12/2013/mfa-blog-eu-courts-general-advocate-issues-opinion-regarding-annulment-parts-short-selling-rules2020-08-24T19:38Znever https://www.findknowdo.com/news/12/03/2013/mfa-blog-eu-financial-transitions-tax-faces-delays-due-oppositional-barriers2020-08-24T19:31Znever https://www.findknowdo.com/news/11/19/2014/mfa-blog-eu-delay-implementation-deadline-u.s.-clearinghouses2024-01-31T02:36Znever https://www.findknowdo.com/news/09/05/2014/mfa-blog-european-and-u.s.-regulators-disagreement-could-delay-rules-regarding-swaps-%28-lofchie-comment%292021-06-28T17:05Znever https://www.findknowdo.com/news/08/12/2013/mfa-blog-european-ftt-could-have-wide-ranging-effects-portfolios2020-08-24T19:38Znever https://www.findknowdo.com/news/08/07/2013/mfa-blog-ftts-put-dent-french-and-italian-trading2020-08-24T19:38Znever https://www.findknowdo.com/news/07/10/2014/mfa-blog-bid-enhance-alternative-investments-canadian-pensions-open-foreign-offices2020-08-24T19:28Znever https://www.findknowdo.com/news/09/18/2013/mfa-blog-policy-brief-newsletter2020-12-15T05:43Znever https://www.findknowdo.com/news/11/27/2013/mfa-blog-report-notes-drawbacks-proposed-eu-ftt2021-06-12T11:42Znever https://www.findknowdo.com/news/05/13/2013/mfa-coalition-joint-letter-cds-customer-portfolio-margining2020-12-15T06:34Znever https://www.findknowdo.com/news/03/06/2013/mfa-comment-letter-proposed-net-investment-income-tax-rules2020-08-24T19:43Znever https://www.findknowdo.com/news/05/06/2013/mfa-comment-letter-sec-decimalization-roundtable2020-12-15T02:56Znever https://www.findknowdo.com/news/03/25/2013/mfa-comment-letter-secs-implementation-jobs-act2020-12-15T04:04Znever https://www.findknowdo.com/news/09/26/2013/mfa-comment-letter-unintentional-wash-sales2020-12-15T04:56Znever https://www.findknowdo.com/news/09/07/2012/mfa-comment-letter-cftc-proposed-clearing-requirement-determination2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/09/2014/mfa-comment-letter-cftc-sef-trading-rules-and-onboarding-documentation-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/13/2013/mfa-comment-letter-financial-conduct-authority-aifmd-implementation2020-08-24T19:43Znever https://www.findknowdo.com/news/03/21/2011/mfa-comment-letter-risk-management-requirements-dcos2024-01-31T02:37Znever https://www.findknowdo.com/news/03/29/2011/mfa-comment-position-limits-derivatives2020-12-15T06:22Znever https://www.findknowdo.com/news/04/15/2011/mfa-comments-amendments-cpo-and-cta-compliance-obligations2020-08-24T19:59Znever https://www.findknowdo.com/news/08/11/2015/mfa-criticizes-sec-proposed-additional-disclosure-requirements-form-adv2022-08-30T19:05Znever https://www.findknowdo.com/news/12/27/2013/mfa-develops-hong-kong-client-electronic-trading-services-representation-template2020-12-03T01:33Znever https://www.findknowdo.com/news/09/30/2014/mfa-elects-2014/2015-board-directors2020-08-24T19:03Znever https://www.findknowdo.com/news/09/28/2012/mfa-files-amicus-lehman-litigation-support-judicial-asset-sale-process2020-08-24T19:53Znever https://www.findknowdo.com/news/07/02/2012/mfa-files-comments-cftc-position-limits-aggregation-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/18/2014/mfa-files-follow-letter-cftc-delegation-cpo-obligations-%28-mehta-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/15/2014/mfa-files-letter-ec-fx-spot-transactions2020-12-15T06:40Znever https://www.findknowdo.com/news/04/01/2015/mfa-files-position-paper-eliminating-post-trade-name-disclosure-swaps-market2020-12-15T06:54Znever https://www.findknowdo.com/news/09/23/2013/mfa-gaga-over-gsga-being-gogo2021-01-24T05:23Znever https://www.findknowdo.com/news/10/17/2013/mfa-industry-survey-compliance-costs-%28-lofchie-comment%292021-01-24T05:23Znever https://www.findknowdo.com/news/04/01/2014/mfa-issues-2014-year-ahead-presentation2021-06-28T16:48Znever https://www.findknowdo.com/news/02/19/2015/mfa-issues-statement-eu-capital-markets-union-proposal2020-08-24T19:00Znever https://www.findknowdo.com/news/08/08/2012/mfa-letter-iosco-consultation-liquidity-risk-management2020-09-28T15:10Znever https://www.findknowdo.com/news/08/06/2012/mfa-letter-esma-draft-technical-standards2020-08-24T19:53Znever https://www.findknowdo.com/news/08/08/2012/mfa-letter-esma-straight-through-processing2020-08-24T19:53Znever https://www.findknowdo.com/news/02/22/2013/mfa-letter-sec-proposed-capital-margin-and-segregation-rules-%28-lofchie-comment%292020-09-28T13:39Znever https://www.findknowdo.com/news/11/14/2012/mfa-november-policy-brief2020-08-24T19:46Znever https://www.findknowdo.com/news/02/28/2011/mfa-confirmation-portfolio-reconciliation-and-portfolio-compression-requirements-swap-dealers-and-major-swap-participants2022-11-19T16:31Znever https://www.findknowdo.com/news/06/03/2014/mfa-paper-outlines-problems-dual-citizenship-%28double-regulation%29-funds-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/16/2015/mfa-president-outlines-principles-strengthen-capital-markets2020-08-24T19:00Znever https://www.findknowdo.com/news/08/21/2013/mfa-publishes-august-policy-brief2020-08-24T19:38Znever https://www.findknowdo.com/news/06/19/2013/mfa-publishes-june-policy-brief2020-12-15T06:45Znever https://www.findknowdo.com/news/03/20/2013/mfa-publishes-monthly-policy-brief-newsletter2021-01-24T05:18Znever https://www.findknowdo.com/news/04/01/2013/mfa-publishes-presentation-electronic-trading2020-12-03T01:33Znever https://www.findknowdo.com/news/10/18/2012/mfa-publishes-web-based-document-collection-eu-short-selling-rules2021-01-24T05:23Znever https://www.findknowdo.com/news/01/16/2014/mfa-releases-2013-year-review-report2021-01-24T05:18Znever https://www.findknowdo.com/news/08/20/2014/mfa-releases-august-issue-policy-brief-newsletter2020-12-15T03:32Znever https://www.findknowdo.com/news/02/19/2014/mfa-releases-february-monthly-policy-brief-newsletter2021-01-24T05:24Znever https://www.findknowdo.com/news/01/22/2014/mfa-releases-january-monthly-policy-brief-newsletter2020-12-15T04:03Znever https://www.findknowdo.com/news/05/21/2014/mfa-releases-latest-policy-brief-newsletter2021-01-24T05:18Znever https://www.findknowdo.com/news/11/20/2013/mfa-releases-november-monthly-policy-brief-newsletter2020-12-15T04:33Znever https://www.findknowdo.com/news/07/17/2013/mfa-releases-statement-jobs-act-rules-%28-lofchie-comment%292021-01-24T05:18Znever https://www.findknowdo.com/news/08/28/2012/mfa-requests-cftc-relief-timing-cpo-registration2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/03/2014/mfa-requests-extension-applicability-date-proposed-871%28m%29-rules2020-08-24T19:23Znever https://www.findknowdo.com/news/06/18/2015/mfa-responds-hm-treasury-regarding-consultation-transposition-mifid-ii2020-08-24T18:15Znever https://www.findknowdo.com/news/02/04/2013/mfa-responds-uk-fsas-consultation-implementation-aifmd2020-08-24T19:46Znever https://www.findknowdo.com/news/07/07/2015/mfa-reviews-role-alternative-investments-capital-markets-dodd-frank2021-01-24T05:23Znever https://www.findknowdo.com/news/04/10/2013/mfa-seeks-relief-external-business-conduct-rules-prime-brokerage2020-08-24T19:43Znever https://www.findknowdo.com/news/10/02/2014/mfa-shares-equity-market-structure-recommendations-regulators2020-12-03T11:45Znever https://www.findknowdo.com/news/09/27/2012/mfa-statement-esmas-final-technical-standards-straight-through-processing2020-08-24T19:53Znever https://www.findknowdo.com/news/12/04/2013/mfa-submits-additional-comments-regarding-finra-rule-5123-private-placement-securities2021-01-24T05:24Znever https://www.findknowdo.com/news/07/03/2012/mfa-submits-amicus-brief-issue-creditor-coordination2020-08-24T19:53Znever https://www.findknowdo.com/news/10/01/2012/mfa-submits-comment-letter-response-basel-ioscos-consultative-document-margin-requirements-non-cleared-derivatives2020-12-15T03:22Znever https://www.findknowdo.com/news/12/18/2012/mfa-submits-comment-letter-esma-mifid-remuneration-guidelines2021-06-11T20:20Znever https://www.findknowdo.com/news/03/01/2013/mfa-submits-comment-letter-hm-treasury-aifmd-implementation2021-01-24T05:23Znever https://www.findknowdo.com/news/09/24/2013/mfa-submits-comments-response-sec-proposed-amendments-reg.-d-form-d-and-rule-1562022-08-30T19:05Znever https://www.findknowdo.com/news/03/15/2013/mfa-submits-comments-basel-iosco-second-consultative-document-margin-requirements-uncleared-derivatives2020-12-15T06:41Znever https://www.findknowdo.com/news/09/10/2013/mfa-submits-comments-bea-forms2020-08-24T19:38Znever https://www.findknowdo.com/news/07/23/2013/mfa-submits-comments-finra-rule-5123-amendments2021-01-24T05:23Znever https://www.findknowdo.com/news/09/24/2012/mfa-submits-comments-hong-kong-consultation-electronic-trading-%28-lofchie-comment%292020-12-03T01:33Znever https://www.findknowdo.com/news/08/14/2013/mfa-submits-comments-proposed-wash-trade-advisory-%28-lofchie-comment%292020-12-03T01:33Znever https://www.findknowdo.com/news/11/27/2012/mfa-submits-comments-prudential-regulators-non-cleared-swap-margin-requirements2020-12-15T06:47Znever https://www.findknowdo.com/news/12/22/2014/mfa-submits-comments-registration-and-regulation-security-based-sefs2020-12-15T04:22Znever https://www.findknowdo.com/news/10/31/2013/mfa-submits-comments-application-risk-retention-proposal2020-12-20T12:21Znever https://www.findknowdo.com/news/08/12/2013/mfa-submits-comments-uk-tax-consultation-document2021-01-24T05:23Znever https://www.findknowdo.com/news/02/18/2014/mfa-submits-comments-australian-treasury-latest-draft-imr-legislation2021-01-24T05:24Znever https://www.findknowdo.com/news/02/05/2014/mfa-submits-comments-cayman-islands-ministry-financial-services-regarding-consultation-beneficial-ownership2020-12-15T05:11Znever https://www.findknowdo.com/news/03/19/2013/mfa-submits-comments-cayman-islands-monetary-authority-response-consultation-corporate-governance2021-06-14T13:56Znever https://www.findknowdo.com/news/04/24/2014/mfa-submits-comments-cftc-support-amended-sdr-access-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/17/2012/mfa-submits-comments-cftc-ice-clear-europe-portfolio-margining-petition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/10/2014/mfa-submits-comments-cftc-position-limits-proposal2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/04/2014/mfa-submits-comments-cftc-uncleared-margin-proposal2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/10/2014/mfa-submits-comments-cftc-regarding-proposed-aggregation-positions-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/19/2012/mfa-submits-comments-cftc-regarding-jobs-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/02/2013/mfa-submits-comments-esma-response-aifmd-reporting-guidelines2021-01-24T05:23Znever https://www.findknowdo.com/news/05/09/2014/mfa-submits-comments-european-commission-consultation-paper-fx-financial-instruments2020-12-15T05:52Znever https://www.findknowdo.com/news/10/10/2014/mfa-submits-comments-fca-regarding-research-investment-advisers-%28-lofchie-comment%292021-02-01T19:45Znever https://www.findknowdo.com/news/10/03/2014/mfa-submits-comments-fincen-regarding-customer-due-diligence-proposals2021-05-19T14:44Znever https://www.findknowdo.com/news/08/18/2014/mfa-submits-comments-foreign-regulators-regarding-%28i%29-emir-and-%28ii%29-reporting-and-recordkeeping-otc-derivatives2020-08-24T19:23Znever https://www.findknowdo.com/news/06/01/2015/mfa-submits-comments-fsb-and-iosco-regarding-methodology-designating-g-sifis2021-01-24T05:22Znever https://www.findknowdo.com/news/12/02/2013/mfa-submits-comments-fsb-regarding-securities-lending-and-repo-markets2021-01-24T05:24Znever https://www.findknowdo.com/news/04/10/2014/mfa-submits-comments-iosco-and-fsb-assessment-methodologies-nonbank-non-insurer-sifis2020-08-24T19:23Znever https://www.findknowdo.com/news/02/12/2013/mfa-submits-comments-sec-cross-margining-single-name-and-index-cds-swaps-%28-lofchie-comment%292020-12-15T03:04Znever https://www.findknowdo.com/news/07/03/2012/mfa-submits-comments-sec-finra-rule-51232020-12-15T04:05Znever https://www.findknowdo.com/news/10/01/2013/mfa-submits-comments-sec-regarding-proposed-amendments-finra-rule-51312020-12-15T04:52Znever https://www.findknowdo.com/news/09/23/2014/mfa-submits-comments-sec-regarding-tick-size-pilot-program-%28-lofchie-comment%292020-09-05T18:23Znever https://www.findknowdo.com/news/06/25/2013/mfa-submits-comments-sec-staff-explaining-cftcs-lsoc-model-related-sec-proposed-segregation-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/18/2012/mfa-submits-comments-sec-supporting-ice-clear-credits-portfolio-margining-petition2020-12-15T04:42Znever https://www.findknowdo.com/news/07/05/2012/mfa-submits-comments-sec-support-adopting-nasdaqs-market-quality-program-pilot-basis2020-08-24T19:53Znever https://www.findknowdo.com/news/11/25/2014/mfa-submits-comments-u.s.-prudential-regulators-uncleared-margin-proposal2020-12-15T04:19Znever https://www.findknowdo.com/news/11/13/2013/mfa-submits-comments-uk-financial-conduct-authority-regarding-guidance-remuneration-provisions-aifmd-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/01/08/2015/mfa-submits-final-letter-bcbs-regarding-concerns-basel-iii-leverage-ratio-cleared-derivatives-%28-lofchie-comment-and-music-selection%292020-12-15T06:47Znever https://www.findknowdo.com/news/10/11/2012/mfa-submits-letter-response-sec-proposal-implement-jobs-act2021-01-24T05:23Znever https://www.findknowdo.com/news/01/13/2015/mfa-submits-letter-cftc-proposed-residual-interest-deadline-rules-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/27/2014/mfa-submits-letter-cftc-requesting-relief-package-transactions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/21/2014/mfa-submits-letter-european-commission-regarding-esmas-final-draft-regulatory-technical-standards2021-06-18T16:09Znever https://www.findknowdo.com/news/04/15/2014/mfa-submits-letter-nfa-proposed-cpo/cta-capital-requirements-%28-lofchie-comment%292020-12-15T03:07Znever https://www.findknowdo.com/news/07/02/2012/mfa-submits-letter-sec-implementation-jobs-act2020-08-24T19:53Znever https://www.findknowdo.com/news/08/14/2012/mfa-submits-letter-sec-sequencing-roadmap-final-title-vii-rules2021-01-03T20:04Znever https://www.findknowdo.com/news/08/15/2012/mfa-submits-letter-sec-regarding-computer-trading-and-risk-management-issues2020-12-03T21:58Znever https://www.findknowdo.com/news/12/12/2013/mfa-submits-letter-cftc-offering-recommendations-enhance-risk-controls-and-system-safeguards-derivatives-market2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/30/2014/mfa-submits-letters-regarding-priorities-cftc-commissioners2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/20/2012/mfa-submits-proposals-cftc-consider-respect-ss4.13%28a%29%283%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2014/mfa-submits-request-cftc-no-action-relief-trade-execution-requirement-package-transactions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/01/2014/mfa-submits-response-esma-consultation-and-discussion-papers-mifi-ii-and-mifir2021-06-28T15:26Znever https://www.findknowdo.com/news/11/06/2014/mfa-submits-response-esma-emir-clearing-obligation-non-deliverable-forwards2021-06-23T21:09Znever https://www.findknowdo.com/news/09/18/2014/mfa-submits-response-esma-emir-clearing-credit-default-swaps2021-06-23T21:22Znever https://www.findknowdo.com/news/12/01/2014/mfa-submits-response-fsb-regarding-consultative-document-cross-border-recognition-resolution-action2020-08-24T19:03Znever https://www.findknowdo.com/news/11/25/2013/mfa-submits-suggestions-cftc-mat-submissions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/25/2014/mfa-submits-supplemental-letter-sec-tri-party-segregation-terms-%28-lofchie-comment%292020-12-15T06:55Znever https://www.findknowdo.com/news/12/06/2013/mfa-supports-more-limited-made-available-trade-submissions2020-12-15T02:23Znever https://www.findknowdo.com/news/03/30/2015/mfa-tells-cftc-its-position-limits-are-too-limiting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/01/2014/mfa-update-cftc-reauthorization-bill-senate-version-may-include-user-fees-%28-lofchie-comment%292020-12-15T03:00Znever https://www.findknowdo.com/news/10/16/2013/mfas-latest-policy-brief-newsletter-now-available2020-12-15T03:06Znever https://www.findknowdo.com/news/01/28/2013/mfa-ici-sifma-and-ia-assoc.-joint-comment-letter-cftc-netting-uncleared-swaps-purposes-commodity-pool-calculation2020-12-15T03:21Znever https://www.findknowdo.com/news/10/23/2014/mfa-sifma-and-ici-submit-order-routing-disclosure-template-recommendation-sec-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/21/2013/mfa-commissioner-barnier-declares-eu-and-u.s.-harmonization-required-protect-global-economy-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/06/14/2013/mfa-eu-member-states-close-general-approach-mifid/mifir2020-08-24T19:38Znever https://www.findknowdo.com/news/06/03/2013/mfa-update-sec-interim-relief-cds-customer-portfolio-margining2020-12-15T06:22Znever https://www.findknowdo.com/news/06/21/2012/mfas-hedge-fund-investor-map-contains-powerful-facts-and-information-across-country-%28mfa-blog-entry%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/06/2012/mfas-new-comment-letter-database-%28mfa-blog%292020-08-24T19:53Znever https://www.findknowdo.com/news/05/29/2012/miami-hedge-fund-adviser-charged-misleading-investors-about-%28sec-press-release%292020-08-24T20:06Znever https://www.findknowdo.com/news/08/15/2012/miax-notice-filing-application-registration-national-securities-exchange2020-12-04T22:39Znever https://www.findknowdo.com/news/05/15/2013/michael-gibson-federal-reserve-director-division-banking-supervision-and-regulation-testifies-cross-border-resolution-large-financial-firms2021-06-13T20:42Znever https://www.findknowdo.com/news/08/15/2013/michael-piwowar-sworn-sec-commissioner2020-08-06T23:16Znever https://www.findknowdo.com/news/11/01/2011/mifid-ii-regime-unveiled2020-08-06T23:16Znever https://www.findknowdo.com/news/03/08/2012/mifid/mifir-and-transparency-otc-derivatives2020-08-06T23:16Znever https://www.findknowdo.com/news/03/10/2014/millennials-and-money-finra-study-demonstrates-young-people-need-more-guidance2020-08-06T23:16Znever https://www.findknowdo.com/news/03/31/2011/ministry-justice-guidance-about-procedures-which-relevant-commercial-organisations-can-put-place-prevent-persons-associated-them-bribing2021-06-11T17:36Znever https://www.findknowdo.com/news/07/19/2012/mizuho-pay-127.5-million-settle-sec-charges-misleading-investors-cdo2020-08-06T23:16Znever https://www.findknowdo.com/news/02/08/2013/modifications-statement-policy-section-19-federal-deposit-insurance-act-%28fdic-financial-institution-letter%292022-08-30T19:05Znever https://www.findknowdo.com/news/01/13/2011/money-fund-industry-aims-foist-reporting-burden-b-ds2021-01-24T01:53Znever https://www.findknowdo.com/news/08/16/2012/monthly-disciplinary-actions-august-20122020-08-06T23:16Znever https://www.findknowdo.com/news/01/26/2011/monthly-report-credit-and-liquidity-programs-and-balance-sheet2020-08-24T19:59Znever https://www.findknowdo.com/news/05/03/2013/more-detailed-guidance-real-estate-communications2020-12-15T03:47Znever https://www.findknowdo.com/news/03/19/2014/more-sanctions-against-russia-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/20/2014/more-russians-sanctioned-%28-turza-comment%292021-06-28T17:19Znever https://www.findknowdo.com/news/12/20/2012/morgan-stanley-settles-facebook-ipo-charges2021-06-11T20:13Znever https://www.findknowdo.com/news/07/19/2012/mortgage-foreclosures-regulatory-oversight-compliance-servicemembers-civil-relief-act-%28scra%29-has-been-limited-gao-%28dodd-frank-study%292020-12-15T02:52Znever https://www.findknowdo.com/news/01/17/2013/mortgage-servicing-under-real-estate-settlement-procedures-act-%28reg-x%29-final-rule-official-interpretations-%28cfpb-pre-fed.-reg.-version%292020-12-15T04:23Znever https://www.findknowdo.com/news/01/17/2013/mortgage-servicing-under-truth-lending-act-%28reg-z%29-final-rule-official-interpretations-%28cfpb-pre-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/05/06/2014/msrb-determines-proceed-best-execution-standard-and-expanded-pay-play-rules2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/13/2012/msrb-online-training-videos-primary-market-and-continuing-disclosure-submissions-emma-website-%28msrb-regulatory-notice%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/09/2012/msrb-request-comment-concept-proposal-strengthen-account-opening-and-supervisory-practices-dealers-effecting-online-municipal-securities-transactions-individual-investors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/15/2012/msrb-request-comment-rule-g-37-political-contributions-and-prohibitions-municipal-securities-business-bond-ballot-campaign-committee-contributions2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/27/2015/msrb-addresses-rulemaking-issues-board-directors-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/16/2015/msrb-adds-feature-emma-provides-access-disclosure-information-municipal-securities2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/10/2015/msrb-adjusts-underwriting-registration-and-transaction-fees-%28msrb-notice-2015-13%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/26/2013/msrb-adopts-policy-integrating-economic-analysis-rulemaking-process-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/26/2012/msrb-amends-proposal-collect-529-college-savings-plan-information2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/25/2014/msrb-and-finra-host-webinar-proposals-provide-pricing-reference-information-investors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/29/2015/msrb-and-municipal-forum-new-york-announce-educational-forum-evolution-and-emerging-trends-municipal-market2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/27/2012/msrb-and-sifma-co-host-municipal-securities-regulation-seminar-new-york2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/12/2014/msrb-announces-2016-move-washington-d.c.2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/04/2014/msrb-announces-a-survey-business-activities-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/25/2014/msrb-announces-availability-kroll-bond-ratings-emma-website2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/17/2013/msrb-announces-board-directors-meeting-agenda2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/19/2013/msrb-announces-continuing-disclosure-monthly-statistics-emma2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/06/2015/msrb-announces-emma-will-collect-asset-backed-securities-disclosures-%28notice-2015-02%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/21/2014/msrb-announces-formation-market-structure-group-and-hires-new-chief-economist2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/23/2014/msrb-announces-items-discussion-board-directors-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/19/2014/msrb-announces-new-associate-general-counsel-market-regulation-department2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/24/2015/msrb-announces-new-board-member2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/19/2015/msrb-announces-new-chief-legal-officer2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/06/2014/msrb-announces-new-officers-and-board-members-fiscal-year-20152026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/04/2015/msrb-announces-new-officers-and-board-members-fiscal-year-20162026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/18/2014/msrb-announces-new-resources-disclosures-municipal-bondholders2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/28/2014/msrb-announces-online-education-center-house-digital-resources-about-municipal-market2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/04/2013/msrb-announces-plans-expand-state-outreach2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/01/2013/msrb-announces-priorities-new-fiscal-year-and-seats-new-board2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/23/2014/msrb-announces-regulatory-topics-be-discussed-upcoming-board-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/08/2014/msrb-announces-seminar-chicago2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/12/2014/msrb-announces-technology-fee-rebate-firms-%28-lofchie-youtube-selection%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/21/2013/msrb-announces-topics-october-board-directors-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/22/2014/msrb-announces-topics-be-discussed-upcoming-board-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/03/2013/msrb-announces-upcoming-webinar-myemma2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/11/2012/msrb-announces-upcoming-webinar-new-emma-trade-monitor2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/06/2014/msrb-announces-upcoming-webinars2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/07/2014/msrb-announces-webinar-msrb-and-sec-municipal-advisor-rules2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/14/2014/msrb-announces-webinar-proposed-rule-duties-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/27/2014/msrb-announces-webinar-primary-offering-practices2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/22/2014/msrb-announces-webinar-regarding-consolidated-fair-dealing-rules2024-04-12T00:22Znever https://www.findknowdo.com/news/03/12/2015/msrb-announces-webinar-review-supervisory-and-compliance-obligations-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/25/2013/msrb-answers-frequently-asked-questions-about-expanded-duties-underwriters-%28regulatory-notice-2013-08%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/01/2013/msrb-appoints-milroy-a.-alexander-board-directors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/28/2013/msrb-approves-development-new-tools-increase-transparency2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/14/2013/msrb-asks-sec-approve-more-disclosures-related-bond-ballot-contributions-municipal-securities-dealer2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/12/2012/msrb-begins-providing-data-new-issues-municipal-securities2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/06/2014/msrb-board-announces-seven-open-positions2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/07/2013/msrb-board-directors-seeks-applicants-%28available-october-1-2013%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/29/2015/msrb-calls-enhanced-municipal-market-transparency-undisclosed-debt-%28notice-2015-03%29-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/03/2013/msrb-comments-secs-proposed-regulation-sci2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/12/2014/msrb-consolidates-dealers-fair-pricing-obligation-rules-%28notice-2014-11%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/01/2014/msrb-convenes-board-directors-fy-20152026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/22/2012/msrb-elects-new-public-board-member-three-year-term2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/02/2015/msrb-emma-system-now-provides-access-moodys-public-finance-ratings2026-04-15T20:58Zyearly https://www.findknowdo.com/news/12/11/2013/msrb-engages-market-participants-improve-emma-website2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/07/2011/msrb-expresses-concern-regarding-activities-unregistered-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/30/2015/msrb-extends-deadline-529-college-savings-plan-data-submissions2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/29/2012/msrb-extends-implementation-date-inter-dealer-regulatory-dollar-price-reporting-requirement2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/14/2014/msrb-files-amendment-previous-rule-proposal-consisting-new-msrb-rule-g-45-and-amendments-rules-g-8-and-g-9-regarding-college-savings-plans2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/09/2013/msrb-files-amendment-proposed-rule-change-rules-g-11-g-8-and-g-322026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/23/2012/msrb-files-amendments-sec-streamline-new-issues-information-submission-requirements-under-rules-g-32-and-g-342026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/14/2014/msrb-files-immediately-effective-proposed-rule-change-regarding-emma-system-rtrs-and-short-system2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/25/2012/msrb-files-proposal-establish-interim-municipal-advisor-assessment-and-seeks-comment-draft-municipal-advisor-survey2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/24/2013/msrb-files-proposed-change-rule-a-32026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/21/2015/msrb-files-proposed-rule-change-rule-g-45-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/22/2014/msrb-files-revised-continuing-education-requirements-municipal-securities-dealers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/05/2014/msrb-files-revised-continuing-education-requirements-municipal-securities-dealers-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/10/2014/msrb-hires-chief-market-structure-officer2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/05/2014/msrb-holds-2014-quarterly-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/02/2015/msrb-holds-quarterly-board-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/03/2015/msrb-holds-quarterly-meeting-discuss-pricing-information-best-execution-and-t2-settlement-cycle2024-04-12T00:22Znever https://www.findknowdo.com/news/04/26/2013/msrb-holds-quarterly-meeting-board-discusses-rule-g-172026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/08/2014/msrb-issues-2013-annual-report2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/22/2013/msrb-issues-amended-interpretive-notice-regarding-digitized-rulebook2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/17/2015/msrb-issues-guidance-developing-municipal-advisory-supervisory-system-and-compliance-program2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/24/2014/msrb-issues-regulatory-notice-regarding-secs-approval-first-municipal-advisor-rule-and-other-amendments2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/05/2014/msrb-issues-two-podcasts-being-a-regulated-municipal-advisor-and-providing-disclosure-information-investors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/02/2014/msrb-launches-emma-price-discovery-tool2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/09/2014/msrb-launches-new-emma-tool-improve-investor-access-municipal-securities-pricing-info2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/29/2014/msrb-makes-kroll-bond-ratings-available-public-through-emma2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/25/2013/msrb-makes-political-contribution-disclosures-available-emma2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/31/2012/msrb-meets-discusses-campaign-contributions-and-coordination-sec2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/12/2013/msrb-names-deputy-general-counsel2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/20/2012/msrb-names-gary-l.-goldsholle-general-counsel2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/05/2015/msrb-names-lawrence-sandor-chief-compliance-officer2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/24/2012/msrb-notice-2012-48-amendments-msrb-rule-g-34-relating-use-term2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/26/2012/msrb-notice-2012-54-reminder-effective-date-regarding-amendments-msrb-rule-g-34-relating-use-term-not-reoffered2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/19/2013/msrb-notice-2013-08-proposed-rule-change-consents-regarding-changes-bond-authorizing-documents2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/06/2013/msrb-notice-2013-11-additional-primary-market-data-emma-website2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/29/2013/msrb-notice-2013-12-sec-approves-amendments-msrb-rule-g-39-telemarketing2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/12/2013/msrb-notice-2013-13-transactions-direct-pay-municipal-bonds-subject-subsidy-reductions-due-federal-sequester2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/31/2013/msrb-notice-2013-14-concept-release-pre-trade-and-post-trade-pricing-data-dissemination-through-a-new-central-transparency-platform2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/06/2013/msrb-notice-2013-15-request-comment-proposed-fair-pricing-rule2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/08/2013/msrb-notice-2013-17-policy-issuing-interpretive-guidance2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/12/2013/msrb-notice-2013-18-market-transparency-advisory2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/19/2013/msrb-notice-2013-19-proposed-rule-change-consolidate-registration-requirements2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/11/2012/msrb-notice-dealers-use-services-brokers-brokers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/02/2012/msrb-notice-members-msrb-requests-comment-revised-proposal-regarding-retail-order-periods2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/07/2013/msrb-opens-registration-two-webinars-one-muni-advisors-and-other-emma2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/28/2013/msrb-plans-numerous-new-rules2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/20/2013/msrb-produces-short-video-about-municipal-market2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/27/2015/msrb-proposal-amend-rtrs-procedures-and-subscription-services-published-federal-register2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/27/2015/msrb-proposal-increase-examination-fees-published-federal-register2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/12/2011/msrb-proposed-interpretive-notices-application-rule-g-17-underwriters-municipal-securities-%28proposed-rule%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/13/2014/msrb-proposes-amendments-consolidate-fair-pricing-rules2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/29/2014/msrb-proposes-amendments-existing-obligations-municipal-securities-dealers-related-fair-pricing-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/03/2014/msrb-proposes-amendments-its-emma-fee-system-%28regulatory-notice-2014-06%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/09/2014/msrb-proposes-and-requests-comment-standard-conduct-rule-%28-link-sifma-statement%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/15/2015/msrb-proposes-conduct-rule-duties-non-solicitor-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/24/2012/msrb-proposes-faster-size-disclosure-large-trades2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/17/2014/msrb-proposes-professional-qualification-requirements-municipal-advisors-%28-lofchie-comment%29-%28notice-2014-08%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/19/2014/msrb-proposes-professional-qualification-standards-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/17/2014/msrb-proposes-rule-change-establish-fees-municipal-advisors-%28notice-2014-09%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/05/2014/msrb-proposes-supervisory-and-compliance-obligations-municipal-advisors-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/24/2014/msrb-proposes-supervisory-and-compliance-obligations-municipal-advisors-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/18/2015/msrb-proposes-amend-fees-charged-qualification-examinations-%28notice-2015-05%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/19/2014/msrb-proposes-establish-first-best-execution-rule-municipal-securities-transactions2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/19/2015/msrb-proposes-expand-emma-post-trade-data2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/21/2012/msrb-provides-customized-access-emma-features2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/08/2013/msrb-publishes-2012-annual-report-and-audited-financial-statements2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/08/2015/msrb-publishes-2014-annual-report-and-audited-financial-statements2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/15/2013/msrb-publishes-emma-guide-state-and-local-governments2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/25/2015/msrb-publishes-fact-book-municipal-market-data2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/14/2013/msrb-publishes-first-quarter-2013-municipal-market-statistics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/14/2014/msrb-publishes-first-quarter-2014-municipal-market-statistics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/08/2013/msrb-publishes-first-report-timing-municipal-bond-annual-financial-disclosures-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/12/2014/msrb-publishes-guidance-its-new-registration-requirements-rule-%28notice-2014-10%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/10/2013/msrb-publishes-guide-regulation-municipal-advisers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/19/2015/msrb-publishes-municipal-market-statistics-first-quarter-20152026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/15/2014/msrb-publishes-report-secondary-market-trading-municipal-securities-market-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/14/2014/msrb-publishes-second-quarter-2014-municipal-market-statistics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/07/2013/msrb-publishes-second-quarter-municipal-market-statistics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/12/2013/msrb-publishes-third-quarter-2013-municipal-market-statistics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/26/2014/msrb-publishes-updated-fact-book-municipal-market2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/31/2013/msrb-regulatory-notice-rtrs-inter-dealer-regulatory-dollar-price-reporting-requirement-effective-february-25-20132026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/02/2012/msrb-regulatory-notice-update-effectiveness-changes-transaction-reporting-requirements2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/28/2013/msrb-releases-2012-municipal-bond-fact-book2026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/19/2013/msrb-releases-education-materials-municipal-bond-market2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/20/2013/msrb-releases-educational-resource-issuers-disclosure-bond-ballot-campaign-contributors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/22/2015/msrb-releases-outline-first-qualification-exam-municipal-advisor-professionals2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/10/2013/msrb-releases-report-municipal-bond-continuing-disclosure-documents2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/22/2014/msrb-releases-rulemaking-topics-january-board-directors-meeting2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/18/2013/msrb-releases-video-about-roles-municipal-bond-issuance2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/06/2012/msrb-request-comment-draft-amendment-limit-dealer-consents-changes-authorizing-documents-municipal-securities-%28msrb-notice%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/17/2015/msrb-requests-comment-post-trade-municipal-securities-transaction-data-product-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/11/2015/msrb-requests-comment-alternative-standard-independence-investor-representative-its-board-%28regulatory-notice-2015-08%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/12/13/2013/msrb-requests-comment-continuing-education-proposal-municipal-securities-dealers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/21/2012/msrb-requests-comment-exception-provisions-draft-proposal-limit-dealers-providing-consents-behalf-municipal-bondholders2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/23/2014/msrb-requests-comment-extending-gifts-rule-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/05/01/2013/msrb-requests-comment-proposal-consolidate-guidance-dealers-obligations-experienced-investors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/06/2013/msrb-requests-comment-proposed-best-execution-standard-munis2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/23/2014/msrb-requests-comment-revisions-draft-rule-municipal-advisor-standards-conduct-%28notice-2014-12%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/11/2013/msrb-requests-comment-revisions-suitability-rule2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/11/2013/msrb-requests-comment-time-trade-disclosure-requirements-dealers-%28significant-rule-proposal-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/13/2014/msrb-requests-comments-enhancing-municipal-securities-trade-data-emma-web-site-%28msrb-reg.-notice-2014-14%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/18/2014/msrb-requests-comments-extending-pay-play-rule-municipal-advisors-%28msrb-reg.-notice-2014-15%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/08/2014/msrb-requests-input-strategic-priorities-%28regulatory-notice-2014-16%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/06/2014/msrb-requests-sec-approval-proposed-amendments-rules-g-3-g-7-and-g-272026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/20/2014/msrb-requests-sec-approval-establish-best-execution-rule-municipal-securities-transactions2024-04-12T00:22Znever https://www.findknowdo.com/news/08/13/2015/msrb-revises-content-outlines-professional-qualification-examinations-municipal-securities-dealers-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/03/2015/msrb-revises-content-outlines-professional-qualification-examinations-municipal-securities-dealers-%28notice-2015-12%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/16/2012/msrb-revises-series-53-study-outline2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/30/2015/msrb-rule-change-adds-clarity-operations-emma-rtrs-and-short-systems2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/19/2012/msrb-rule-g-17-compliance-assistance2026-04-15T20:58Zyearly https://www.findknowdo.com/news/07/31/2012/msrb-rule-g-17-compliance-assistance-%28effective-aug.-2-2012%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/08/2013/msrb-rule-g-32-and-g-34-amendments-streamline-new-issue-information-submission-requirements-approved-sec2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/01/2012/msrb-seats-new-board-directors-members-fiscal-year-20132026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/05/2015/msrb-seeks-applicants-board-directors-%28notice-2015-01%29-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/18/2013/msrb-seeks-approval-consolidate-and-harmonize-fair-dealing-obligations-municipal-securities-dealers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/05/2013/msrb-seeks-input-annual-planning2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/17/2013/msrb-seeks-input-development-new-municipal-trade-reporting-system-%28-lofchie-comment%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/12/12/2012/msrb-seeks-public-comment-proposal-improve-investor-access-preliminary-official-statements2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/14/2014/msrb-submits-proposed-rule-consolidate-registration-rules-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/03/02/2015/msrb-amend-its-rules-create-professional-qualification-standards-municipal-advisors-%28notice-2015-04%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/06/13/2013/msrb-co-host-boston-education-and-outreach-seminar2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/17/2015/msrb-collect-additional-data-regarding-529-college-savings-plans-%28reg.-notice-2014-03%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/04/16/2015/msrb-hold-meeting-rulemaking-topics2026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/02/2013/msrb-host-regional-education-and-outreach-seminars2026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/13/2015/msrb-host-webinar-rule-g-182024-04-12T00:22Znever https://www.findknowdo.com/news/02/04/2014/msrb-propose-rules-best-execution-and-muni-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/11/25/2014/msrb-publish-disclosures-about-municipal-asset-backed-securities-%28msrb-regulatory-notice-2014-21%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/12/18/2012/msrb-undertakes-broad-rules-review-and-asks-public-recommend-changes-municipal-market-regulations2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/12/2013/msrb-updates-electronic-form-reporting-trade-%28regulatory-notice-2013-05%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/20/2015/msrb-urges-sec-revisit-municipal-securities-market-disclosure-rule2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/20/2012/msrb-webinar-issuers2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/14/2011/msrb-withdraws-pending-municipal-advisor-rule-proposals-%28notice%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/10/04/2013/msrb-withdraws-sec-rule-filing-regarding-amendments-msrb-rule-a-32026-04-15T20:58Zyearly https://www.findknowdo.com/news/01/22/2015/msrbs-board-directors-announces-meeting-rulemaking-topics-including-gift-giving2020-12-15T06:58Znever https://www.findknowdo.com/news/10/15/2014/msrbs-general-counsel-depart2020-08-06T23:16Znever https://www.findknowdo.com/news/12/05/2014/msrbs-proposed-amendments-emma-published-%28fed.-reg.%292020-12-20T12:21Znever https://www.findknowdo.com/news/12/05/2014/msrb-proposed-professional-qualification-standards-municipal-advisors-published-%28fed.-reg.%292020-12-15T06:46Znever https://www.findknowdo.com/news/05/01/2014/msrb-proposed-rule-regarding-assessments-municipal-advisor-professionals-%28fed.-reg.%292020-12-15T06:32Znever https://www.findknowdo.com/news/09/08/2014/msrb-proposed-rule-regarding-best-execution-municipal-securities-transactions-published-%28fed.-reg.%292024-04-12T00:22Znever https://www.findknowdo.com/news/02/27/2013/msrb-texas-mac-municipal-securities-seminar-webcast2020-12-15T03:51Znever https://www.findknowdo.com/news/02/10/2014/msrb-call-applicants-msrbs-board-directors2020-08-24T19:23Znever https://www.findknowdo.com/news/02/04/2013/municipal-securities-rulemaking-board-seeks-comments-all-muni-rules-%28-lofchie-comment%292020-12-15T04:27Znever https://www.findknowdo.com/news/07/19/2012/municipal-securities-options-improving-continuing-disclosure-gao-%28dodd-frank-study%292020-12-15T06:56Znever https://www.findknowdo.com/news/08/02/2013/nasaa-supports-investor-choice-act-2013-relating-arbitration-rights-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/08/17/2012/nasaa-comment-letter-requesting-sec-delay-jobs-act-rule2024-02-03T22:51Znever https://www.findknowdo.com/news/04/23/2014/nasaa-and-csbs-release-guidance-virtual-currency2024-02-03T22:51Znever https://www.findknowdo.com/news/08/18/2014/nasaa-announces-annual-conference-focus-meeting-tomorrows-challenges-today-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/23/2013/nasaa-announces-iard-system-fee-waiver-investment-adviser-firms2024-02-03T22:51Znever https://www.findknowdo.com/news/05/26/2015/nasaa-announces-new-executive-director2024-02-03T22:51Znever https://www.findknowdo.com/news/09/16/2014/nasaa-announces-new-president2024-02-03T22:51Znever https://www.findknowdo.com/news/03/20/2014/nasaa-announces-public-policy-conference-explore-challenges-forecasting-markets-and-investor-participation2024-02-03T22:51Znever https://www.findknowdo.com/news/10/20/2014/nasaa-announces-reduction-system-fees-investment-advisor-representatives2024-02-03T22:51Znever https://www.findknowdo.com/news/05/12/2014/nasaa-announces-review-program-regarding-regulation-a-offerings2024-02-03T22:51Znever https://www.findknowdo.com/news/03/11/2014/nasaa-approves-streamlined-multistate-coordinated-review-program-response-reg.-a2024-02-03T22:51Znever https://www.findknowdo.com/news/05/08/2013/nasaa-battles-over-mandatory-arbitration-and-class-actions2024-02-03T22:51Znever https://www.findknowdo.com/news/11/20/2014/nasaa-cautions-investors-be-wary-high-yield-investment-programs2024-02-03T22:51Znever https://www.findknowdo.com/news/10/29/2014/nasaa-cautions-investors-guard-against-ebola-related-scams2024-02-03T22:51Znever https://www.findknowdo.com/news/01/15/2015/nasaa-considering-exempting-certain-ma-brokers-state-registration-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/31/2013/nasaa-enforcement-report-details-investor-protection-role-state-securities-regulators2024-02-03T22:51Znever https://www.findknowdo.com/news/10/24/2012/nasaa-enforcement-report-shows-increased-actions-against-investment-advisers-%28-parness-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/21/2013/nasaa-expands-annual-top-investor-threat-list2024-02-03T22:51Znever https://www.findknowdo.com/news/09/11/2014/nasaa-forms-working-group-develop-improved-fee-disclosure-broker-dealers-%28-lofchie-music-selection%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/08/2014/nasaa-holds-public-policy-conference-sec-commissioners-stein-and-aguilar-speak-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/11/12/2014/nasaa-identifies-emerging-and-continuing-threats-investors2024-02-12T02:40Znever https://www.findknowdo.com/news/08/22/2012/nasaa-identifies-investor-threats-jobs-act-ranks-1-and-92024-02-12T02:40Znever https://www.findknowdo.com/news/10/03/2012/nasaa-insight-compliance-issues-jobs-act-and-federal-preemption-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/30/2013/nasaa-investor-advisory-it-pays-understand-different-roles-financial-service-providers2024-02-03T22:51Znever https://www.findknowdo.com/news/07/10/2013/nasaa-issues-a-statement-jobs-act-and-jobs-act-rules2024-02-03T22:51Znever https://www.findknowdo.com/news/12/01/2014/nasaa-issues-advisory-third-party-custodians-self-directed-iras-and-other-qualified-plans2024-02-03T22:51Znever https://www.findknowdo.com/news/11/19/2013/nasaa-issues-fall-2013-edition-nasaa-insight2024-02-03T22:51Znever https://www.findknowdo.com/news/04/29/2014/nasaa-issues-informed-investor-advisory-virtual-currency2024-02-03T22:51Znever https://www.findknowdo.com/news/04/02/2013/nasaa-issues-investor-advisory-private-placement-offerings-%28-parness-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/22/2015/nasaa-issues-investor-advisory-address-confusion-over-broker-dealer-fees-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/16/2015/nasaa-issues-request-additional-comments-regarding-proposed-model-rule-exemption-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/25/2014/nasaa-issues-statement-regarding-finra-decision-schwab-effort-curb-investor-rights-class-actions2024-02-03T22:51Znever https://www.findknowdo.com/news/11/22/2013/nasaa-issues-statements-sec-recommendations-regarding-investment-advisers-and-broker-dealers-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/09/10/2012/nasaa-launches-native-american-investor-outreach-initiative2024-02-03T22:51Znever https://www.findknowdo.com/news/12/15/2014/nasaa-launches-streamlined-electronic-filing-depository2024-02-03T22:51Znever https://www.findknowdo.com/news/10/10/2012/nasaa-notice-request-public-comment-proposed-changes-performance-fee-model-rules-under-uniform-securities-acts-1956-and-2002-%28-parness-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/02/23/2015/nasaa-offers-legislative-agenda-114th-congress-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/28/2014/nasaa-officials-speak-about-new-directors-and-future-priorities2024-02-03T22:51Znever https://www.findknowdo.com/news/03/05/2013/nasaa-outlines-legislative-agenda-announces-aggressive-advocacy-agenda-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/30/2013/nasaa-outlines-plan-streamlined-state-review-jobs-act-related-multi-state-offerings2024-02-03T22:51Znever https://www.findknowdo.com/news/04/17/2013/nasaa-president-abshure-remarks-jobs-act-and-mandatory-arbitration-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/11/22/2013/nasaa-president-andrea-seidt-begins-campaign-smarter-regulation-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/10/2012/nasaa-president-heath-abshure-criticizes-sec-jobs-act-proposals-%28-parness-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/03/19/2013/nasaa-president-heath-abshures-keynote-address-sifma-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/03/10/2015/nasaa-president-testifies-venture-exchanges2024-02-03T22:51Znever https://www.findknowdo.com/news/09/11/2012/nasaa-press-release-a.-heath-abshure-arkansas-become-nasaa-president2024-02-03T22:51Znever https://www.findknowdo.com/news/08/01/2014/nasaa-proposes-business-continuity-rule-state-registered-advisers-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/03/2013/nasaa-public-policy-conference-explore-new-frontiers-investor-protection2024-02-03T22:51Znever https://www.findknowdo.com/news/11/07/2013/nasaa-releases-faq-addressing-issues-relating-general-solicitation-rules-and-bad-actor-rules2024-02-03T22:51Znever https://www.findknowdo.com/news/05/20/2013/nasaa-releases-final-ia-switch-report-documents-largest-coordinated-event-between-state-and-federal-securities-regulators2024-02-03T22:51Znever https://www.findknowdo.com/news/01/28/2015/nasaa-reminds-investors-discuss-cybersecurity-their-financial-professionals-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/09/2014/nasaa-renews-call-sec-revise-reg.-a-rule-proposal2024-02-03T22:51Znever https://www.findknowdo.com/news/10/23/2012/nasaa-report-details-investor-protection-role-state-securities-regulators2024-02-03T22:51Znever https://www.findknowdo.com/news/05/14/2013/nasaa-report-ia-switch-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/09/29/2014/nasaa-reports-increase-prison-time-securities-law-violators-%28-lofchie-music-selection%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/10/2013/nasaa-reports-deficiencies-among-state-registered-investment-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/11/04/2014/nasaa-reports-rise-enforcement-actions-against-licensed-broker-dealer-sales-agents2024-02-03T22:51Znever https://www.findknowdo.com/news/07/16/2013/nasaa-requests-comments-proposed-changes-judgement-lien-disclosure-reporting-page2024-02-03T22:51Znever https://www.findknowdo.com/news/08/16/2013/nasaa-requests-comments-proposed-changes-nasaa-registration-exemption-investment-advisers-private-funds-model-rule2024-02-03T22:51Znever https://www.findknowdo.com/news/07/17/2013/nasaa-requests-comments-uniform-branch-registration-form2024-02-03T22:51Znever https://www.findknowdo.com/news/06/30/2014/nasaa-requests-comments-regarding-a-proposed-model-rule-electronic-filing-form-d-and-registration-documents2024-02-03T22:51Znever https://www.findknowdo.com/news/04/08/2015/nasaa-research-shows-investor-confusion-over-brokerage-fees-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/12/05/2012/nasaa-sees-sharp-spike-crowdfunding-internet-task-force-monitoring-crowdfunding-activities-increased-signs-fraud2024-02-03T22:51Znever https://www.findknowdo.com/news/02/12/2015/nasaa-sends-comments-sec-regarding-coordinated-review-program2024-02-03T22:51Znever https://www.findknowdo.com/news/02/20/2014/nasaa-submits-letter-sec-objecting-state-preemption-reg-a-offerings-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/04/19/2013/nasaa-supports-user-fees-investment-advisers-opposes-finra-authority-over-investment-advisers-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/09/10/2014/nasaa-survey-finds-midsized-investment-advisers-addressing-cybersecurity-risks2024-02-03T22:51Znever https://www.findknowdo.com/news/03/27/2015/nasaa-hold-annual-public-policy-conference2024-02-03T22:51Znever https://www.findknowdo.com/news/09/09/2013/nasaa-host-annual-conference-investor-protection-securities-regulators-and-professionals2024-02-03T22:51Znever https://www.findknowdo.com/news/03/25/2014/nasaa-urges-sec-revise-reg.-a-proposal2024-02-03T22:51Znever https://www.findknowdo.com/news/06/18/2013/nasaa-warning-speculative-energy-investments2024-02-03T22:51Znever https://www.findknowdo.com/news/08/05/2015/nasaas-electronic-filing-depository-reaches-milestone2024-02-03T22:51Znever https://www.findknowdo.com/news/01/11/2013/nasaa-comment-request-regarding-proposed-changes-model-custody-and-recordkeeping-rules-clarify-requirements-relating-inadvertent-custody-client-funds2024-02-03T22:51Znever https://www.findknowdo.com/news/06/05/2013/nasaa-investor-and-adviser-groups-voice-opposition-weakened-fiduciary-standard-%28-lofchie-comment%292024-02-03T22:51Znever https://www.findknowdo.com/news/10/10/2014/nasaa-public-comment-period-extended-proposed-ia-business-continuity-and-succession-planning-model-rule-and-guidance2024-02-03T22:51Znever https://www.findknowdo.com/news/04/24/2014/nasaa-survey-finds-inconsistent-broker-dealer-fee-disclosure-and-questionable-markups2024-02-03T22:51Znever https://www.findknowdo.com/news/06/14/2013/nasaa-washington-proposes-amendments-rules-investment-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/04/03/2013/nasaa-washington-state-proposes-amendments-rules-investment-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/07/23/2012/nasd-proposed-rule-change-regarding-implementation-date-amendments-rules-1012-and-1017-%28filing-w/sec%292020-08-06T23:16Znever https://www.findknowdo.com/news/07/20/2012/nasdaq-order-approving-proposed-rule-modify-its-corporate-governance-rules2020-08-06T23:16Znever https://www.findknowdo.com/news/06/11/2013/nasdaq-and-facebook-ipo-saving-ipo-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/07/15/2013/nasdaq-and-facebook-ipo-crisis-management-decision-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/02/21/2014/nasdaq-announces-kill-switch-halt-trading-when-trading-limits-are-breached-%28-youtube-video%292022-11-21T16:23Znever https://www.findknowdo.com/news/05/29/2013/nasdaq-charged-failures-during-facebook-ipo2020-12-15T04:54Znever https://www.findknowdo.com/news/02/13/2013/nasdaq-early-bird-alert-400-.m.-pre-market-trading-begin-early-march-182020-12-15T05:52Znever https://www.findknowdo.com/news/08/22/2013/nasdaq-halts-trading-securities-due-tech-glitch2022-11-21T16:23Znever https://www.findknowdo.com/news/07/24/2012/nasdaq-omx-bx-proposed-rule-change-relating-routing-fees-%28pre-fed.-reg.-version%292020-08-06T23:16Znever https://www.findknowdo.com/news/07/17/2012/nasdaq-omx-bx-proposed-rule-change-respect-amendment-laws-its-parent-corporation-%28sec-release%292020-08-06T23:16Znever https://www.findknowdo.com/news/07/29/2014/nasdaq-omx-provide-smarts-integrity-market-surveillance-platform-trueex-group2021-06-28T17:58Znever https://www.findknowdo.com/news/02/15/2013/nasdaq-proposed-rule-change2020-12-15T04:10Znever https://www.findknowdo.com/news/07/16/2012/nasdaq-order-instituting-proceedings-determine-whether-approve-or-disapprove-proposed-rule-changes-relating-market-maker-incentive-programs-certain-exchange-traded-products-%28sec-release%292020-08-06T23:16Znever https://www.findknowdo.com/news/05/12/2015/national-adjudicatory-council-revises-sanction-guidelines-fraudulent-conduct-%28finra-reg.-notice-15-15%292022-08-30T19:05Znever https://www.findknowdo.com/news/03/20/2013/national-association-pension-funds-%28napf%29-responds-bcbs-and-iosco-margin-requirements-non-centrally-cleared-derivatives2021-06-14T14:38Znever https://www.findknowdo.com/news/06/13/2013/national-banks-respond-transition-period-section-716%28f%29-dodd-frank-act2021-06-13T03:04Znever https://www.findknowdo.com/news/02/01/2013/national-futures-association-adopts-recommendations-its-audits-futures-commission-merchants2024-01-29T14:26Znever https://www.findknowdo.com/news/01/09/2014/national-futures-association-publishes-statement-its-compliance-programs2024-01-29T14:26Znever https://www.findknowdo.com/news/09/03/2013/national-futures-association-submits-amendments-rule-3-172020-08-06T23:16Znever https://www.findknowdo.com/news/02/19/2013/national-futures-association-submits-comment-letter-cftc-proposed-rules-enhancing-customer-protections-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/24/2015/ncua-board-proposes-revisions-rules-regarding-risk-based-capital2020-08-06T23:16Znever https://www.findknowdo.com/news/11/01/2013/ncua-proposes-rule-regarding-capital-planning-and-stress-testing-%28fed.-reg.-version%292020-12-15T04:30Znever https://www.findknowdo.com/news/07/01/2014/nearly-100-countries-agree-fatca-igas-june-30-deadline2020-08-24T19:23Znever https://www.findknowdo.com/news/06/19/2015/nera-economic-consulting-experts-publish-paper-stress-testing-money-market-mutual-funds-%28-lofchie-comment%292021-06-21T18:25Znever https://www.findknowdo.com/news/11/06/2012/netherlands-and-finra-sign-mou-financial-market-surveillance-and-supervision2020-08-24T19:46Znever https://www.findknowdo.com/news/12/19/2013/netherlands-signs-fatca-iga-u.s.2021-06-12T21:23Znever https://www.findknowdo.com/news/08/02/2012/new-director-new-municipal-securities-office-new-muni-web-page2020-12-15T03:08Znever https://www.findknowdo.com/news/07/03/2012/new-advisers-act-enforcement-action2020-08-24T19:53Znever https://www.findknowdo.com/news/04/25/2013/new-cftc-anti-fraud-resources-released-financial-capability-month2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/03/2014/new-commissioners-cftc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/27/2011/new-derivatives-rules-need-be-simpler-cheaper-republicans-tell-cftc2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/30/2014/new-directors-registration-and-licensing-law-%28-conyers-dill-pearman-alert%292021-06-28T16:52Znever https://www.findknowdo.com/news/04/30/2012/new-electronic-filing-system-public-offering-filings-%28finra-regulatory-notice%292020-12-15T05:56Znever https://www.findknowdo.com/news/04/05/2012/new-enforcement-actions-%28investment-advisers-act%292020-08-24T19:59Znever https://www.findknowdo.com/news/04/24/2014/new-eu-disclosure-rules-may-expose-companies-fcpa-issues-%28-clark-comment%292020-12-15T06:46Znever https://www.findknowdo.com/news/12/24/2014/new-fatca-faqs-clarify-giin-requirement2020-08-24T19:20Znever https://www.findknowdo.com/news/03/19/2014/new-finra-supervision-rules-approved-sec-%28regulatory-notice-14-10%292020-08-06T23:16Znever https://www.findknowdo.com/news/02/20/2013/new-head-prudential-regulatory-authority-appointed2020-08-06T23:16Znever https://www.findknowdo.com/news/06/17/2013/new-msrb-rules-retail-order-periods2020-12-20T00:15Znever https://www.findknowdo.com/news/08/19/2014/new-nasaa-initiative-focuses-senior-investor-issues2024-02-03T22:51Znever https://www.findknowdo.com/news/09/05/2012/new-nfa-rules-relating-custody-and-financial-requirements2020-12-15T06:59Znever https://www.findknowdo.com/news/05/12/2014/new-proposed-regulations-treat-some-solar-property-good-reit-assets2020-08-24T19:23Znever https://www.findknowdo.com/news/09/16/2013/new-quarterly-filing-requirements-ctas-under-nfa-compliance-rule-2-46-commence-quarter-ending-september-30-20132020-12-15T06:57Znever https://www.findknowdo.com/news/01/06/2011/new-rate-fees-paid-under-ss-31-exchange-act2020-08-06T23:16Znever https://www.findknowdo.com/news/08/19/2015/new-report-estimates-dols-fiduciary-rule-will-cost-firms-3.9-billion2020-12-15T06:34Znever https://www.findknowdo.com/news/09/17/2014/new-research-discusses-impact-and-future-hft2021-06-28T17:06Znever https://www.findknowdo.com/news/02/01/2011/new-species-how-market-participants-have-evolved-financial-ecosystems2020-12-15T03:17Znever https://www.findknowdo.com/news/08/05/2012/new-uk-bank-lending-scheme-now-open2020-12-15T02:51Znever https://www.findknowdo.com/news/02/28/2013/new-uk-banks-benefit-lower-capital-requirements2020-12-15T04:40Znever https://www.findknowdo.com/news/01/28/2011/new-york-fed-releases-statement-regarding-meeting-over-counter-derivatives2020-08-06T23:16Znever https://www.findknowdo.com/news/02/02/2015/new-york-fed-revise-process-calculating-federal-funds-effective-rate2020-12-15T02:37Znever https://www.findknowdo.com/news/05/08/2015/new-york-fed-upgrades-wholesale-product-office2020-12-15T03:24Znever https://www.findknowdo.com/news/04/30/2015/new-york-fed.-executive-vice-president-resigns2020-12-23T23:22Znever https://www.findknowdo.com/news/08/13/2014/new-york-fed.-president-dudley-discusses-short-term-wholesale-funding-issues2020-12-15T05:55Znever https://www.findknowdo.com/news/06/02/2014/new-york-federal-jury-finds-hedge-fund-manager-not-liable-insider-trading-scheme-%28-bondi-comment-and-lofchie-youtube-selection%292020-12-15T04:48Znever https://www.findknowdo.com/news/10/21/2014/new-york-federal-reserve-bank-president-dudley-discusses-improving-culture-financial-services-industry-%28-lofchie-comment%292020-12-15T04:34Znever https://www.findknowdo.com/news/08/06/2012/new-york-state-department-financial-services-order-against-standard-chartered-bank2024-02-03T23:12Znever https://www.findknowdo.com/news/06/28/2012/new-york-based-hedge-fund-adviser-philip-.-falcone-and-his-advisory-firm-harbinger-capital-partners-llc-charged-securities-fraud-%28sec-press-release%292020-08-24T19:53Znever https://www.findknowdo.com/news/11/26/2012/next-bank-england-governor-named2022-12-03T16:45Znever https://www.findknowdo.com/news/01/17/2014/nfa-comments-proposed-expansion-nfa-membership-requirement-ctas-cpos-and-ibs-engaged-swaps2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/19/2014/nfa-hits-road-member-conference-series2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/27/2012/nfa-amendments-financial-requirements-section-14-assets-covering-liabilities-retail-forex-customers2026-04-15T21:01Zyearly https://www.findknowdo.com/news/07/27/2012/nfa-amendments-interpretive-notice-concerning-account-transfers-nfa-compliance-rule-2-402026-04-15T21:01Zyearly https://www.findknowdo.com/news/07/27/2012/nfa-amendments-interpretive-notice-concerning-compliance-retail-forex-transactions2026-04-15T21:01Zyearly https://www.findknowdo.com/news/08/09/2012/nfa-president-and-chief-executive-daniel-roths-testimony-shortfalls-customer-segregated-funds-fcms2026-04-15T21:01Zyearly https://www.findknowdo.com/news/08/23/2012/nfa-swap-registration-requirements-proposed-amendments-nfa-bylaw-301-and-registration-rules-401/4022026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/04/2012/nfa-amends-articles-incorporation-add-references-swap-dealers-and-major-swap-participants-and-retail-foreign-exchange-dealers2026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/15/2014/nfa-amends-compliance-rule-2-45-regarding-loans-commodity-pools2026-04-15T21:00Zyearly https://www.findknowdo.com/news/04/24/2013/nfa-amends-compliance-rule-cpo-and-cta-quarterly-reporting-requirements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/22/2014/nfa-amends-rule-regarding-new-risk-exposure-report-filing-requirement-sds-and-msps-%28nfa-notice-i-14-20%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/20/2013/nfa-and-better-markets-file-amicus-curiae-ici-v.-cftc2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/21/2013/nfa-announcement-new-filing-requirements-fcms-act-a-counterparty-a-forex-transaction-ecp2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/13/2014/nfa-announces-additional-reporting-requirements-forex-dealer-members-%28nfa-notice-i-14-07%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/20/2015/nfa-announces-annual-meeting-%28notice-i-15-13%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/06/2014/nfa-announces-changes-cpo-form-pqr-and-cta-form-pr-%28notice-1-14-13%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/03/2014/nfa-announces-changes-public-display-fcm-financial-information-%28notice-i-14-28%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/01/2014/nfa-announces-effective-date-interpretive-notice-compliance-rules-2-4-and-2-36-relating-paying-future-credit-%28nfa-notice-i-14-33%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/24/2014/nfa-announces-effectiveness-financial-requirement-rule-amendments2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/21/2015/nfa-announces-increases-minimum-security-deposits-required-fdms-%28notice-i-15-04%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/19/2014/nfa-announces-member-regulatory-conference-chicago2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/18/2014/nfa-announces-new-fcm-filing-requirements-%28nfa-notice-i-14-22%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/04/2014/nfa-announces-nominations-its-2014-committee-%28notice-i-14-29%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/12/2012/nfa-announces-nominations-made-2012-nominating-committee2026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/14/2014/nfa-announces-results-2013-member-survey-interaction-nfa-%28-lofchie-youtube-selection%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/29/2014/nfa-announces-results-board-elections2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/28/2014/nfa-announces-two-tutorial-videos-cpos-and-ctas-electronic-exemptions-and-filing-form-pqr2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/17/2013/nfa-announces-webinar-help-ctas-understand-quarterly-reporting-requirements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/06/2012/nfa-announces-workshop-assist-sds/msps-registering2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/02/2015/nfa-approves-amendments-articles-incorporation-relating-nfas-governance-%28nfa-notice-i-15-15%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/07/2014/nfa-assessment-fee-reduction-becomes-effective-october-1-%28nfa-notice-i-14-18%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/15/2011/nfa-nfa-levies-2000000-monetary-sanction-against-fxcm-and-orders-refunds-customers2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/20/2014/nfa-bars-fcm-and-cta-membership-misappropriating-customer-funds2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/28/2015/nfa-board-approves-fiscal-year-2016-budget2026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/23/2014/nfa-board-approves-prohibition-credit-cards-fund-retail-forex-accounts2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/20/2015/nfa-board-directors-re-elects-christopher-hehmeyer-chair2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/11/2015/nfa-business-conduct-committee-bars-firm-and-its-principal-membership2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/30/2014/nfa-chairman-and-executive-committee-respond-allegations-improprieties-regarding-2014-public-director-nominations-%28notice-i-14-38%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/20/2015/nfa-charges-fcm-excess-segregated-funds/secured-amount/disbursements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/20/2015/nfa-charges-fcm-failing-report-customer-balances-depositories2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/19/2015/nfa-charges-introducing-broker-cta/cpo-and-principal-using-misleading-promotional-material2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/20/2015/nfa-charges-two-introducing-brokers-one-aml-program-violations-one-recordkeeping-and-capital-minimum-failures2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/24/2013/nfa-emergency-enforcement-action-against-firm-failed-register2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/19/2012/nfa-enhances-monitoring-fcms-amends-fx-capital-requirements2026-04-15T21:01Zyearly https://www.findknowdo.com/news/08/10/2015/nfa-enters-second-phase-implementation-fdm-forex-customer-liability-reporting-requirements-%28nfa-notice-i-15-20%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/13/2013/nfa-files-complaints-compliance-rule-violations2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/13/2013/nfa-files-proposed-amendments-interpretive-notices-regarding-compliance-rule-2-102026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/06/2013/nfa-files-proposed-amendments-cftc2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/25/2013/nfa-fines-california-firm-and-former-principal-and-associated-person-7500002026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/08/2013/nfa-fines-connecticut-firm-interactive-brokers-300000-settlement-two-complaints-%28-mehta-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/10/2015/nfa-fines-firm-and-principal-failing-observe-high-standards-commercial-honor-and-failure-supervise2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/18/2014/nfa-fines-firm-conducting-business-unregistered-entity-and-failure-submit-trade-data-%28-mehta-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/10/2014/nfa-fines-firm-inadequate-aml-program-and-failure-supervise2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/10/2015/nfa-fines-firm-recordkeeping-and-supervisory-requirements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/04/14/2015/nfa-fines-multiple-firms-failing-maintain-audit-trails-bunch-customer-order-allocations2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/31/2012/nfa-fines-new-york-fx-firm-and-its-former-ceo2026-04-15T21:01Zyearly https://www.findknowdo.com/news/10/16/2013/nfa-fines-utah-firm-interbank-fx-llc-failure-keep-accurate-books-and-records2026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/13/2012/nfa-forex-dealer-member-reports-under-financial-requirements-section-13-late-fees2026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/04/2012/nfa-guidance-annual-affirmation-requirement-entities-currently-operating-under-exemption-or-exclusion-cpo-or-cta-registration2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/28/2012/nfa-guidance-persons-operating-or-advising-funds-pursuant-exemption-under-cftc-regulation-4.13%28a%29%284%292026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/04/2013/nfa-increases-fees-late-financial-and-regulatory-filings-effective-december-22026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/08/2015/nfa-initiates-enforcement-actions-supervisory-and-marketing-failures2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/02/2013/nfa-interpretive-notice-adjustment-certain-fees2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/03/2013/nfa-interpretive-notice-questions-and-answers-regarding-assessment-fees2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/08/2015/nfa-issues-a-notice-members-regarding-changes-cpo-form-pqr-and-cta-form-pr2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/23/2015/nfa-issues-additional-increases-required-minimum-security-deposit-forex-transactions-%28notice-i-15-07%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/15/2014/nfa-issues-ballots-annual-board-directors-election-%28nfa-notices-i-14-35-and-i-14-36%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/18/2013/nfa-issues-compliance-rule-update-rule-2-72026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/02/2015/nfa-issues-enforcement-actions-against-three-firms2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/07/2015/nfa-issues-enforcement-actions-against-two-firms2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/03/2014/nfa-issues-guidance-annual-affirmation-requirement-exemptions-cpo/cta-registration-%28notice-i-14-34%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/28/2013/nfa-issues-interpretive-notice-compliance-rule-2-9-fcm-and-ib-anti-money-laundering-program2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/18/2013/nfa-issues-interpretive-notice-ctas-trading-primarily-securities-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/02/2013/nfa-issues-interpretive-notice-fcm-financial-practices-and-excess-segregated-funds-secured-amounts-and-cleared-swaps-customer-collateral-disbursements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/04/30/2014/nfa-issues-investor-newsletter-april-20142026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/27/2014/nfa-issues-investor-newsletter-january-20142026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/23/2015/nfa-issues-notice-newly-elected-members-board-directors-and-nominating-committee-%28notice-i-15-06%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/20/2014/nfa-issues-notice-late-disclosure-filing-fee-%28notice-i-14-11%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/04/08/2015/nfa-issues-notice-regarding-cpo-delegation-%28notice-i-15-13%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/30/2015/nfa-issues-notice-regarding-filing-relief-certain-commodity-trading-advisors2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/09/2013/nfa-issues-notice-regarding-portfolio-reconciliation-requirements-sds-and-msps2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/13/2015/nfa-issues-notice-regarding-requirements-file-consolidated-financial-statements-under-cftc-no-action-letter-14-112-%28notice-i-15-17%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/15/2015/nfa-issues-notice-reminding-members-obligations-regarding-cpos/ctas-exempt-registration-%28nfa-notice-i-15-02%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/23/2014/nfa-issues-notice-cpos-and-ctas-summarizing-changes-form-pqr-and-form-pr-effective-period-ending-june-30-%28notice-i-14-15%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/01/2014/nfa-issues-notice-cpos-regarding-changes-cpo-form-pqr-and-reminds-cpo/ctas-filings-%28notice-i-14-26%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/10/2015/nfa-issues-notice-cpos-regarding-changes-easyfile-annual-pool-financial-statements-%28notice-i-15-09%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/05/2015/nfa-issues-notice-sds-and-msps-regarding-changes-easyfile-registration-documentation-submission-system-%28notice-i-15-11%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/22/2013/nfa-issues-proposed-amendments-increase-late-reporting-fines2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/22/2013/nfa-issues-proposed-technical-amendment-nfa-financial-requirements2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/18/2013/nfa-issues-registration-rule-updates2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/01/2014/nfa-issues-request-public-director-nominations-nfa-board-directors-%28nfa-notice-i-14-32%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/19/2012/nfa-issues-three-notices-concerning-cpo/cta-regulations2026-04-15T21:01Zyearly https://www.findknowdo.com/news/07/02/2013/nfa-member-notice-i-13-19-compliance-deadlines-deferred-swap-trading-and-portfolio-reconciliation-documentation2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/12/2014/nfa-member-obligations-respect-cpos/ctas-exempt-registration-notice-i-14-06-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/22/2012/nfa-news-facts-actions-fall-20122026-04-15T21:01Zyearly https://www.findknowdo.com/news/03/26/2013/nfa-notice-1-13-08-fcm-responsibilities-review-and-approval-guaranteed-introducing-brokers-%28gib%29-communications-public2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/28/2013/nfa-notice-i-13-09-reporting-requirements-good-friday2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/21/2013/nfa-notice-i-13-13-reporting-requirements-memorial-day2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/12/2013/nfa-notice-i-13-20-xml-upload-feature-file-pool-quarterly-reports2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/26/2013/nfa-notice-i-13-26-re-permissible-and-impermissible-transactions-involving-pools-cpos-and-other-affiliates2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/30/2013/nfa-notice-i-13-28-filing-requirements-exemptions-notices-under-cftcs-recently-adopted-harmonization-rules2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/01/2013/nfa-notice-i-13-29-u.s.-government-shutdown-cftc-emergency-contacts2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/09/2013/nfa-notice-i-13-30-reporting-requirements-columbus-day2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/11/2013/nfa-notice-i-13-31-business-continuity-and-disaster-recovery-plan-reporting-requirements-fcms-and-fdms2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/23/2013/nfa-notice-i-13-32-effective-date-amendments-nfa-financial-requirements-sections-10-and-13-and-compliance-rule-2-482026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/18/2013/nfa-notice-i-13-35-nfa-nominating-committee-announces-2013-nominations2026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/18/2013/nfa-notice-i-13-36-request-cpos-operate-rics-utilizing-wholly-owned-subsidiaries2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/05/2013/nfa-notice-i-13-38-guidance-annual-affirmation-requirements-entities-are-exempt-cpo/cta-registration2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/19/2013/nfa-notice-i-13-43-fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/20/2013/nfa-notice-i-13-44-applicability-cftc-no-action-letter-13-51-regarding-reporting-subsidiaries-are-pools2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/27/2013/nfa-notice-i-13-45-reporting-requirements-new-years-day-reminder-2014-holidays-and-sidrs-due-dates2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/06/2014/nfa-notice-i-13-46-new-notification-and-report-filing-requirements-under-cftc-final-rule-enhancing-customer-protections2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/06/2014/nfa-notice-i-14-01-additional-reporting-requirements-fcms-which-nfa-dsro2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/14/2014/nfa-notice-i-14-02-%28notice-annual-meeting%29-and-2013-annual-review2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/30/2014/nfa-notice-i-14-05-request-comments-cpo/cta-capital-requirements-and-customer-protection-measures-not-limited-cpo/cta-members2026-04-15T21:00Zyearly https://www.findknowdo.com/news/04/14/2014/nfa-notice-i-14-10-heartbleed-security-issue2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/22/2013/nfa-notice-member-responsibility-action-alphametrix-llc2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/23/2013/nfa-notice-newly-elected-members-its-board-directors-and-2013-nominating-committee2026-04-15T21:01Zyearly https://www.findknowdo.com/news/11/28/2012/nfa-notice-additional-reporting-requirements-guidance2026-04-15T21:01Zyearly https://www.findknowdo.com/news/10/09/2012/nfa-notice-members-board-and-nominating-committee-members-whose-terms-will-expire-2013-annual-election2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/30/2013/nfa-notice-members-board-and-nominating-committee-members-whose-terms-will-expire-february2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/14/2012/nfa-notice-members-chief-compliance-officer-requirements-become-effective-certain-fcms-october-12026-04-15T21:01Zyearly https://www.findknowdo.com/news/10/01/2012/nfa-notice-members-financial-requirements-section-16-reporting-requirements-guidance2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/19/2013/nfa-notice-members-implementation-phase-2-nfa-financial-requirements-section-4-segregated-account-balance-reporting-fcms-and-dcos2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/28/2013/nfa-notice-members-mandatory-response-cpos-operating-a-pool-a-registered-investment-company2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/14/2012/nfa-notice-members-nfas-basic-system-public-display-fcm-financial-information2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/07/2012/nfa-notice-members-pre-filing-cftc-exemptions2026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/18/2013/nfa-notice-members-reporting-requirements-christmas-day2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/26/2013/nfa-notice-members-reporting-requirements-labor-day2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/27/2012/nfa-notice-members-required-notification-certain-disbursements-segregated/secured-amount-funds-and-new-requirements-regarding-statement-submitters2026-04-15T21:01Zyearly https://www.findknowdo.com/news/03/08/2013/nfa-notice-chief-compliance-officer-requirements-become-effective-all-fcms-march-29-20132026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/30/2013/nfa-notice-effective-date-requirement-banks-and-trust-companies-report-customer-balances2026-04-15T21:01Zyearly https://www.findknowdo.com/news/03/07/2013/nfa-notice-information-regarding-fees-applicable-swap-dealers-and-msps2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/16/2013/nfa-notice-new-recordkeeping-requirements-%28-comments-lofchie-and-hollingsworth-consulting%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/02/2014/nfa-orders-commodity-trading-advisory-firm-permanently-withdraw-nfa-membership-and-sanctions-its-principals2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/08/2013/nfa-orders-fidelity-planning-group-withdraw-membership2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/27/2015/nfa-permanently-bars-chazon-qta-quantitative-trading-artists-llc2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/26/2012/nfa-permanently-bars-michigan-based-futures-firm-atlantas-group-inc.2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/06/2012/nfa-presents-swap-dealer-registration-webinar-hosted-fia-law-and-compliance-division2026-04-15T21:01Zyearly https://www.findknowdo.com/news/08/16/2012/nfa-president-and-ceo-daniel-j.-roths-testimony-peregrine-fraud2026-04-15T21:01Zyearly https://www.findknowdo.com/news/11/28/2012/nfa-proposed-amendments-regarding-use-technology-monitor-fcm-segregation-compliance2026-04-15T21:01Zyearly https://www.findknowdo.com/news/09/03/2014/nfa-proposes-amendment-bylaw-1301-regarding-decreases-membership-dues-major-swap-participants2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/02/2014/nfa-proposes-amendment-compliance-rule-2-42026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/26/2015/nfa-proposes-amendments-regarding-board-structure-and-composition2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/26/2014/nfa-proposes-amendments-governance-structure-articles-incorporation2026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/23/2014/nfa-proposes-amendments-interpretive-notice-compliance-rule-2-9-relating-supervision-telemarketing2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/28/2013/nfa-proposes-amendments-nfa-code-arbitration2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/06/2014/nfa-proposes-amendments-nfa-registration-rules-203-and-210-regarding-disciplinary-disclosures2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/28/2014/nfa-proposes-amendments-sd-and-msp-reporting-requirements-%28compliance-rule-2-49%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/11/2014/nfa-proposes-add-cpo/cta-representation-nfa-board-directors2026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/05/2014/nfa-proposes-amend-articles-incorporation-increase-cpo/cta-representation-board-directors-%28notice-i-14-14%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/03/2014/nfa-proposes-amend-financial-requirements-rule-regarding-covering-liabilities-retail-forex-customers2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/28/2015/nfa-proposes-amend-rules-regarding-risk-management-program-forex-dealer-members2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/28/2014/nfa-proposes-reduce-assessment-fees-%28notice-1-14-12%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/25/2013/nfa-publishes-guide-disclosure-documents-cpos-and-ctas2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/29/2013/nfa-publishes-investor-quarterly-newsletter2026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/16/2014/nfa-publishes-update-video-regarding-november-2014-board-directors-meeting2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/21/2014/nfa-re-elects-christopher-hehmeyer-serve-chairman2026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/19/2014/nfa-recommends-members-review-fincen-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-%28nfa-notice-i-14-30%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/30/2013/nfa-regulatory-notice-effective-date-rule-amendments-relating-customer-collateral-swaps2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/08/2013/nfa-regulatory-notice-july-2013-revisions-fcms-ibs-cpos-and-ctas2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/24/2012/nfa-releases-october-investor-bulletin2026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/23/2013/nfa-reminder-cta-reporting-requirements2026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/26/2015/nfa-reminds-fcms-extension-cco-annual-report-deadline-%28nfa-notice-i-15-08%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/18/2014/nfa-reminds-firms-effective-date-reduced-nfa-assessment-fee-%28nfa-notice-i-14-21%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/05/2015/nfa-reminds-its-members-requirement-observe-high-standards-%28notice-i-15-01%29-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/18/2015/nfa-reminds-members-annual-questionnaire-requirements-%28notice-i-15-10%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/18/2014/nfa-reminds-members-reporting-requirements-christmas-and-new-years-day-%28notice-i-14-37%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/13/2015/nfa-reminds-members-provide-accurate-and-current-business-contact-information-%28notice-i-15-14%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/01/2014/nfa-reminds-sds-and-msps-requirements-regarding-departure-ccos-%28nfa-notice-i-14-17%29-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/30/2014/nfa-reminds-sds-and-msps-requirements-regarding-risk-exposure-report-filings-%28nfa-notice-i-14-24%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/23/2015/nfa-reminds-sds-and-msps-file-cco-annual-reports-cftc-announces-firms-may-submit-reports-through-winjammer-%28notice-i-15-05%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/27/2012/nfa-request-public-director-nominations-nfas-board-directors2026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/23/2014/nfa-requests-comments-regarding-cpo/cta-capital-requirement-and-customer-protection-measures-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/24/2014/nfa-revises-interpretive-notices-regarding-compliance-rule-2-10-regard-allocation-bunched-orders2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/04/2012/nfa-rule-401-amended-qualification-testing-requirement2026-04-15T21:01Zyearly https://www.findknowdo.com/news/10/04/2012/nfa-rule-402-amended-waiver-testing-required2026-04-15T21:01Zyearly https://www.findknowdo.com/news/08/22/2012/nfa-rule-changes-relating-protection-customer-assets2026-04-15T21:01Zyearly https://www.findknowdo.com/news/11/21/2012/nfa-rule-submission-letters2026-04-15T21:01Zyearly https://www.findknowdo.com/news/01/08/2013/nfa-seeks-extension-comment-period-cftc-proposed-rule-enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-dcos2026-04-15T21:01Zyearly https://www.findknowdo.com/news/05/13/2013/nfa-self-examination-questionnaire-fcms-fdms-ibs-cpos-and-ctas2026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/18/2013/nfa-signs-agreement-teraexchange-provide-regulatory-services-its-swap-execution-facility2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/13/2015/nfa-submits-comments-cftc-about-proposed-amendments-concerning-records-commodity-interest-and-related-cash-or-forward-transactions2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/28/2014/nfa-submits-proposed-amendments-regarding-filing-requirements-introducing-brokers2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/06/2013/nfa-submits-proposed-amendments-compliance-rule-2-45-%28-lofchie-comment%292026-04-15T21:01Zyearly https://www.findknowdo.com/news/03/04/2013/nfa-submits-proposed-amendments-various-rules2026-04-15T21:01Zyearly https://www.findknowdo.com/news/03/27/2013/nfa-submits-public-comments-iosco-customer-protection-consultation-report-particularly-principle-5-%28-youtube-link%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/13/2013/nfa-summarizes-capital-requirements-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/10/2012/nfa-takes-emergency-enforcement-action-against-new-york-fx-dealer-member2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/10/2013/nfa-takes-emergency-enforcement-action-against-new-york-cta-cannot-account-customer-funds2026-04-15T21:00Zyearly https://www.findknowdo.com/news/01/31/2013/nfa-takes-emergency-enforcement-action-against-new-york-firm-and-its-principal2026-04-15T21:01Zyearly https://www.findknowdo.com/news/02/11/2015/nfa-hold-audio-conference-swap-dealers-and-major-swap-participants2026-04-15T21:00Zyearly https://www.findknowdo.com/news/02/25/2014/nfa-incorporate-cftc-risk-management-program-requirement-fcms-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/19/2014/nfa-town-hall-capital-requirements-ctas2026-04-15T21:00Zyearly https://www.findknowdo.com/news/03/24/2015/nfa-updates-regulatory-guide-forex-transactions2026-04-15T21:00Zyearly https://www.findknowdo.com/news/05/14/2013/nfa-video-registration-process-4s-document-submission-process-sds-and-msps-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/19/2012/nfa-webinar-guidance-required-registration-swaps-professionals2026-04-15T21:01Zyearly https://www.findknowdo.com/news/06/11/2013/nfas-board-announces-four-swap-participant-members-%28-eastwood-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/06/06/2013/nfas-board-approves-expanded-fiscal-year-2014-budget-and-fees2026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/17/2012/nfas-board-directors-approves-rule-enhance-customer-segregated-funds-protection-regime2026-04-15T21:01Zyearly https://www.findknowdo.com/news/02/27/2013/nfas-board-directors-elects-christopher-hehmeyer-chairman2026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/17/2014/nfas-technical-amendments-bylaw-406-regarding-elections-become-effective2026-04-15T21:00Zyearly https://www.findknowdo.com/news/07/07/2014/nfa-proposed-interpretive-notice-prohibiting-use-credit-cards-fund-forex-or-futures-accounts-published-%28fed.-reg.%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/12/19/2013/nfa-cftc-approves-nfa-rule-regarding-swap-dealers-and-major-swap-participants-%28-lofchie-comment%292026-04-15T21:00Zyearly https://www.findknowdo.com/news/08/29/2012/nfa-fcm-and-ib-anti-money-laundering-program-proposed-amendments-interpretive-notice-nfa-compliance-rule-2-92026-04-15T21:01Zyearly https://www.findknowdo.com/news/11/12/2012/nfa-integration-sds-and-msps-nfas-membership-and-governance-structure-proposed-amendments-articles-incorporation2026-04-15T21:01Zyearly https://www.findknowdo.com/news/12/27/2012/nfa-member-obligations-under-nfa-bylaw-1101-respect-certain-ibs-afforded-temporary-registration-no-action-relief2026-04-15T21:01Zyearly https://www.findknowdo.com/news/10/11/2012/nfa-self-examination-questionnaire-fcms-fdms-ibs-cpos-and-ctas2026-04-15T21:01Zyearly https://www.findknowdo.com/news/04/19/2011/nine-securities-regulators-join-ioscos-fight-against-cross-border-market-misconduct2021-06-11T18:40Znever https://www.findknowdo.com/news/04/10/2014/ninth-circuit-forum-selection-clause-supersedes-right-finra-arbitration-%28-lofchie-comment%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/12/2014/nist-issues-framework-improving-critical-infrastructure-cybersecurity-sifma-event-follow-%28-wainstein-and-clearfield-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/07/2011/nml-capital-ltd-v-argentina-2011-uksc-31-%286-july-2011%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/05/2012/nms-amendment-plan-purpose-developing-and-implementing-procedures-facilitate-listing-and-trading-standardized-options-add-nasdaq-omx-bx-inc.-sponsorview2020-12-03T16:59Znever https://www.findknowdo.com/news/02/01/2011/no-cigar-john2020-12-15T05:42Znever https://www.findknowdo.com/news/04/13/2011/no-action-letter-re-deutsche-bank-microcredit-development-fund-inc.2023-06-13T12:13Znever https://www.findknowdo.com/news/10/12/2012/no-action-letter-re-investment-company-act-section-7%28d%29-german-government-entity-%28-lofchie-comment%292021-01-24T01:47Znever https://www.findknowdo.com/news/04/13/2011/no-action-letter-re-segregated-account-ambac-assurance-corporation2020-08-06T23:22Znever https://www.findknowdo.com/news/09/14/2011/no-action-letter-communitysun-llc-re-security-definition-%28interpretation%292020-08-06T23:22Znever https://www.findknowdo.com/news/09/14/2011/no-action-letter-investment-company-institute-%28interpretation%292021-02-01T19:47Znever https://www.findknowdo.com/news/03/29/2011/no-action-letter-remec-liquidating-trust2020-09-28T15:10Znever https://www.findknowdo.com/news/06/21/2013/no-action-relief-permits-subadviser-deliver-form-adv-primary-investment-adviser-pursuant-rule-204-3-investment-advisers-act2020-12-15T06:52Znever https://www.findknowdo.com/news/12/06/2011/no-action-relief-request-taiwan-futures-exchange-connection-offer-and-sale-united-states-its-futures-contract-based-gretai-securities-market-capitalized-weighted-stock2020-08-24T19:59Znever https://www.findknowdo.com/news/09/30/2013/nodal-exchange-converts-exempt-commerical-market-fully-regulated-designated-contract-market2020-12-15T03:27Znever https://www.findknowdo.com/news/06/20/2013/norm-champ-delivers-speech-operation-division-investment-management-disclosure-issues2021-01-24T05:23Znever https://www.findknowdo.com/news/12/31/2014/north-korean-sanctions-summary-january-2-%28-turza-comment%292020-09-18T01:55Znever https://www.findknowdo.com/news/04/16/2013/norway-and-italy-sign-fatca-iga-united-states2020-08-24T19:43Znever https://www.findknowdo.com/news/07/10/2012/notice-annual-meeting-finra-firms-and-proxy-%28finra-election-notice%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/22/2012/notice-filing-and-immediate-effectiveness-proposed-cboe-rule-change-increase-class-quoting-limit-options-facebook-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/25/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-adjust-fees-filing-documents-pursuant-finra-rule-5110-%28sec-release%292020-12-15T04:04Znever https://www.findknowdo.com/news/06/25/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-adjust-fees-review-advertising-material-filed-finra-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/21/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-amend-nyse-arca-rule-2.23-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/25/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-amend-section-4-schedule-finra-laws-increase-branch-office-annual-registration-and-new-member...2020-08-06T23:22Znever https://www.findknowdo.com/news/06/26/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-amend-sections-4-and-6-schedule-finra-laws-regarding-fees-relating-central-registration-depository...2020-08-06T23:22Znever https://www.findknowdo.com/news/06/26/2012/notice-filing-and-immediate-effectiveness-proposed-rule-change-amend-exchanges-obvious-error-rule-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/22/2012/notice-filing-and-order-granting-accelerated-approval-proposed-rule-change-amend-cme-rule-802-regarding-cmes-capital-contribution-base-guaranty-fund-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/18/2012/notice-filing-and-order-granting-accelerated-approval-proposed-rule-change-amend-cme-rule-971-reporting-requirements-fcm-clearing-members2020-08-06T23:22Znever https://www.findknowdo.com/news/06/21/2012/notice-filing-amendment-no.-2-and-order-granting-accelerated-approval-proposed-finra-rule-change-modified-amendment-nos.-1-and-2-amend-finra-rule-6433-%28sec-release%292020-12-03T15:39Znever https://www.findknowdo.com/news/06/21/2012/notice-filing-proposed-ise-rule-change-allow-competitive-market-makers-use-their-membership-points-enter-multiple-quotes-options-class-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/22/2012/notice-filing-proposed-nasdaq-rule-change-relating-listing-and-trading-alpha-index-linked-securities-%28sec-release%292020-12-03T11:19Znever https://www.findknowdo.com/news/06/18/2012/notice-filing-proposed-rule-change-amending-independence-policy-board-directors-nyse-euronext-and-creating-new-independence-policy-boards-directors-nyse-llc-et.-al.2020-08-06T23:22Znever https://www.findknowdo.com/news/06/25/2012/notice-filing-proposed-rule-change-amending-nyse-arca-rule-3.2-and-nyse-arca-equities-inc.-rule-3.2-which-concern-nomination-and-election-fair-representation-directors-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/18/2012/notice-filing-proposed-rule-change-adopt-new-market-maker-peg-order-available-exchange-market-makers-%28nasdaq-stock-market-llc-proposed-rule%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/22/2012/notice-filing-proposed-rule-change-list-and-trade-shares-ishares-copper-trust-pursuant-nyse-arca-equities-rule-8.201-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/05/23/2012/notice-meeting-sec-advisory-committee-small-and-emerging-companies2020-08-06T23:22Znever https://www.findknowdo.com/news/10/09/2012/notice-rule-amendments-deleting-provisions-open-outcry-trading2020-12-15T05:06Znever https://www.findknowdo.com/news/01/19/2011/notice-sunshine-act-meeting-january-25-20112020-08-24T19:59Znever https://www.findknowdo.com/news/06/22/2012/notice-withdrawal-proposed-ise-rule-change-list-and-trade-option-contracts-overlying-10-shares-security-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/22/2012/notice-withdrawal-proposed-nyse-arca-rule-change-list-and-trade-option-contracts-overlying-10-shares-security-%28mini-options-contracts%29-and-implement-rule-text-necessary-distinguish...2020-08-06T23:22Znever https://www.findknowdo.com/news/02/28/2011/notice-changes-rule-g-34%28c%29-requiring-dealer-submission-ars-and-vrdo-documents-short-system2020-08-06T23:22Znever https://www.findknowdo.com/news/01/19/2012/notice-regarding-specifically-identifiable-property-and-other-non-cash-assets-%28notice%292020-12-15T03:48Znever https://www.findknowdo.com/news/02/14/2012/notice-requesting-nominations-subcommittee-automated-and-high-frequency-trading-%28notice%292020-12-03T01:33Znever https://www.findknowdo.com/news/05/02/2011/notice-requesting-nominations-subcommittee-data-standardization-under-technology-advisory-committee2020-08-24T19:59Znever https://www.findknowdo.com/news/12/04/2012/november-2012-monthly-compliance-and-news-recap-%28finra-podcast%292020-08-24T19:46Znever https://www.findknowdo.com/news/06/20/2012/now-effective-nfa-interpretive-notice-90652024-01-29T03:21Znever https://www.findknowdo.com/news/08/19/2011/now-thats-really-wrong-%28news-story%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/26/2011/npr-regarding-fsoc-authority-require-supervision-and-regulation-certain-nonbank-financial-companies2020-12-15T04:22Znever https://www.findknowdo.com/news/01/30/2013/numerous-assorted-securities-sro-rule-changes2020-12-15T05:50Znever https://www.findknowdo.com/news/03/11/2013/numerous-assorted-securities-sro-rule-changes-including-finra-proposed-rule-change-relating-cds-margin-requirements2020-12-15T05:17Znever https://www.findknowdo.com/news/09/13/2012/numerous-assorted-sro-rule-changes2020-09-28T15:10Znever https://www.findknowdo.com/news/06/19/2013/numerous-immediately-effective-securities-sro-rule-changes2020-12-15T04:42Znever https://www.findknowdo.com/news/02/01/2013/numerous-immediately-effective-sro-rule-changes2020-12-15T04:28Znever https://www.findknowdo.com/news/11/05/2012/numerous-securities-sro-rule-changes2021-06-11T20:50Znever https://www.findknowdo.com/news/06/26/2014/ny-attorney-general-files-civil-charges-against-barclays-over-dark-pool-and-high-frequency-trading2022-07-27T22:56Znever https://www.findknowdo.com/news/07/08/2013/ny-attorney-general-press-release-providing-information-customers-%28-lofchie-comment%292022-07-27T22:56Znever https://www.findknowdo.com/news/06/10/2015/ny-department-financial-services-releases-final-rules-licensing-virtual-currency-businesses-new-york2024-02-03T23:12Znever https://www.findknowdo.com/news/02/05/2015/ny-department-financial-services-revises-bitlicense-proposal2024-02-03T23:12Znever https://www.findknowdo.com/news/12/12/2013/ny-department-financial-services-sanctions-bank-conducting-transactions-internationally-sanctioned-countries2024-02-03T23:12Znever https://www.findknowdo.com/news/07/18/2014/ny-dfs-releases-proposed-licensing-and-regulatory-framework-virtual-currency-firms2024-02-03T23:12Znever https://www.findknowdo.com/news/07/06/2015/ny-fed-announces-new-executive-vice-president-and-chief-risk-officer2020-08-06T23:22Znever https://www.findknowdo.com/news/03/07/2014/ny-fed-elects-david-m.-cote-class-b-director-board-directors2020-12-15T03:07Znever https://www.findknowdo.com/news/07/01/2015/ny-fed-president-dudley-discusses-growing-influence-committee-payments-and-market-infrastructure2020-12-15T04:53Znever https://www.findknowdo.com/news/10/12/2012/ny-fed-press-release-edward-murphy-retire-head-corporate-group2020-12-15T03:39Znever https://www.findknowdo.com/news/03/25/2015/ny-fed-releases-paper-regarding-central-clearing-%28-lofchie-comment%292020-12-15T05:42Znever https://www.findknowdo.com/news/11/16/2012/ny-fed-speech-solving-too-big-fail-problem2020-12-15T04:14Znever https://www.findknowdo.com/news/02/08/2013/ny-fed-staff-report-money-market-funds-intermediation-bank-instability-and-contagion2021-01-24T01:53Znever https://www.findknowdo.com/news/02/05/2013/ny-fed-membership-changes-made-community-depository-institutions-advisory-council2020-12-15T04:49Znever https://www.findknowdo.com/news/04/06/2015/nymex-and-comex-issue-market-regulation-advisory-notice-regarding-block-trades2021-06-21T17:44Znever https://www.findknowdo.com/news/04/01/2015/nymex-issues-disciplinary-action-against-firm-reporting-and-recordkeeping-violations2020-08-06T23:22Znever https://www.findknowdo.com/news/04/01/2015/nymex-issues-disciplinary-actions-against-two-firms-documentation-violations-relating-non-efrp-trades2020-08-06T23:22Znever https://www.findknowdo.com/news/03/11/2015/nysba-tax-lawyers-comment-proposals-reform-taxation-financial-instruments2020-08-06T23:22Znever https://www.findknowdo.com/news/01/08/2014/nysba-tax-section-recommendations-fatca2020-08-24T19:31Znever https://www.findknowdo.com/news/07/17/2012/nyse-order-disapproving-proposed-rule-changes-codify-certain-traditional-trading-floor-functions-may-be-performed-designated-market-makers-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/25/2012/nyse-proposed-rule-change-amending-nyse-rule-76-crossing-function-%28pre-fed.-reg.-version%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/26/2012/nyse-proposed-rule-change-extending-operation-its-new-market-model-pilot-effective-immediately-%28pre-fed.-reg.-version%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/26/2012/nyse-proposed-rule-change-extending-operation-supplemental-liquidity-providers-pilot-effective-immediately-%28pre-fed.-reg-version%292020-09-28T15:10Znever https://www.findknowdo.com/news/08/24/2011/nyse-adoption-finra-version-manning-rule-%28adopting-release%29-sec-release-no.-34-65164-sr-nyse-2011-432020-12-03T11:06Znever https://www.findknowdo.com/news/09/14/2012/nyse-agrees-settle-charges-relating-differentials-speed-information-delivery-%28sec-order%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/25/2012/nyse-arca-order-approving-rule-change-relating-first-trust-cboe-vix-tail-hedge-index-fund-%28pre-fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2012/nyse-arca-order-granting-approval-proposed-rule-change-amending-its-rules-reflect-merger-archipelago-holdings-inc.-thereby-eliminating-archipelago-holdings-ownership...2020-08-06T23:22Znever https://www.findknowdo.com/news/07/19/2012/nyse-arca-proposed-rule-amending-nyse-arca-equities-schedule-fees-and-charges-exchange-services2020-08-06T23:22Znever https://www.findknowdo.com/news/07/26/2012/nyse-arca-proposed-rule-change-amending-nyse-arca-equities-rule-7.37%28c%29-%28pre-fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2012/nyse-arca-proposed-rule-change-establishing-fee-television-distribution-nyse-arca-trades-data-product-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/21/2012/nyse-arca-inc.-notice-filing-proposed-rule-change-relating-listing-and-trading-qam-equity-hedge-etf-under-nyse-arca-equities-rule-8.600-%28sec-release%292021-01-24T02:58Znever https://www.findknowdo.com/news/07/24/2012/nyse-arca-notice-longer-period-commission-action-proposed-rule-change-amending-nyse-arca-equities-rule-7.31%28h%29-add-pl-select-order-type2020-08-06T23:22Znever https://www.findknowdo.com/news/07/09/2013/nyse-euronext-subsidiary-will-become-new-administrator-libor2021-06-13T15:11Znever https://www.findknowdo.com/news/04/12/2011/nyse-fines-broker-dealer-violations-relating-odd-lot-transactions-blue-sheets-and-supervision2021-06-11T18:47Znever https://www.findknowdo.com/news/02/01/2011/nyse-gambling-policy2020-08-06T23:22Znever https://www.findknowdo.com/news/07/08/2015/nyse-halts-trade-due-technical-issues-%28-lofchie-comment%292020-12-03T22:28Znever https://www.findknowdo.com/news/05/10/2011/nyse-im-amendments-nyse-rule-72%28d%29-re.-block-sized-agency-crossing-transactions2021-06-11T18:38Znever https://www.findknowdo.com/news/07/03/2012/nyse-mkt-rule-change-amending-rules-13-115a-123c-and-making-other-technical-and-conforming-changes-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/04/12/2011/nyse-proposal-amend-rule-1401-modify-initial-trading-market-value-debt-securities2020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/nyse-rule-change-amending-rules-13-115a-123c-and-making-other-technical-and-conforming-changes-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/26/2012/nysemkt-notice-filing-and-immediate-effectiveness-proposed-rule-change-amending-nyse-mkt-rule-500-equities-%28pre-fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2012/nysemkt-proposed-rule-change-amending-rule-134-equities-shorten-time-frame-assigning-contra-party-unresolved-account-balances-exchanges-online-comparison-system...2020-08-06T23:22Znever https://www.findknowdo.com/news/02/14/2011/obama-congress-set-fight-funds-regulator2020-12-15T06:34Znever https://www.findknowdo.com/news/11/21/2012/occ-specifies-money-penalties-%28fed.-reg.-version%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/17/2012/occ-proposed-rule-change-relating-auction-process-under-options-clearing-corporation-rule-1104-%28sec-release%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/25/2013/occ-and-fdic-release-guidance-deposit-advance-products2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/02/2013/occ-and-federal-reserve-board-approve-final-capital-rules2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/18/2013/occ-and-federal-reserves-agreement-hsbc-provide-249-million-payments2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/07/2014/occ-and-fincen-fine-jpmorgan-compliance-deficiencies2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/14/2013/occ-and-frb-issue-cease-and-desist-order-against-jpmorgan-chase-n.a.2026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/14/2013/occ-and-frb-publish-final-rules-regarding-regulatory-capital-rules-%28fed.-reg.%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/12/26/2012/occ-announcement-karen-solomon-serve-acting-chief-counsel2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/10/2014/occ-announces-deputy-comptrollers-northeastern-and-central-districts2026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/01/2014/occ-announces-new-deputy-chief-information-officer2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/26/2015/occ-announces-new-deputy-comptroller-special-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/03/2015/occ-announces-new-deputy-comptrollers-large-bank-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/21/2013/occ-announces-rescission-office-thrift-supervision-compliance-documents2026-04-15T21:31Zyearly https://www.findknowdo.com/news/03/24/2014/occ-announces-addition-supplemental-examination-procedures-comptrollers-handbook2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/12/2015/occ-appoints-new-deputy-comptroller-large-bank-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/19/2012/occ-assesses-civil-money-penalty-against-capital-one-orders-restitution-2.5-million-customers2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/21/2015/occ-assesses-multimillion-dollar-penalty-against-south-dakota-bank2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/01/2012/occ-bulletin-prohibition-against-interstate-deposit-production2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/18/2012/occ-bulletin-supervisory-guidance-risk-management-and-reporting-requirements2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/15/2012/occ-chief-counsel-julie-williams-announces-retirement2026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/13/2013/occ-clarification-treatment-certain-sovereign-and-securitization-positions-%28-lofchie-comment%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/04/2015/occ-clarifies-expectations-regarding-quantitative-limits-physical-commodity-transactions2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/16/2012/occ-comment-request-submission-omb-review-%28occ-release%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/04/2013/occ-compliance-extension-final-rule2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/24/2015/occ-comptroller-curry-applauds-work-new-england-council-discusses-risks-financial-industry-%28-lofchie-comment%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/12/2015/occ-comptroller-curry-discusses-community-reinvestment-act-and-small-business-lending2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/16/2014/occ-comptroller-curry-discusses-cybersecurity2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/07/2015/occ-comptroller-curry-discusses-responsible-innovation-risk-management2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/25/2015/occ-deputy-comptroller-benhart-discusses-risk-management2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/11/2015/occ-deputy-comptroller-discusses-operational-risk-and-cyber-threats2026-04-15T21:31Zyearly https://www.findknowdo.com/news/10/04/2012/occ-deputy-comptroller-taylor-named-chair-basel-committee-standards-group2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/25/2012/occ-deputy-comptroller-testifies-h.r.-6139-%28national-consumer-credit-corporations%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/10/11/2012/occ-description-short-term-investment-funds-final-rule2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/19/2013/occ-enforcement-actions2026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/18/2015/occ-final-rule-published-integrates-national-bank-and-federal-savings-association-licensing-activities2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/02/2014/occ-finalizes-heightened-standards-large-financial-institutions2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/24/2012/occ-guidance-hard-value-assets2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/06/2015/occ-hires-first-chief-risk-officer-and-next-chief-information-officer2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/16/2015/occ-improves-online-access-corporate-application-information-and-comments2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/09/2014/occ-increases-assessments-national-banks-and-fsas-assets-over-40-billion-%28fed.-reg.%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/28/2014/occ-issues-collective-investment-funds-booklet-comptrollers-handbook2026-04-15T21:31Zyearly https://www.findknowdo.com/news/10/01/2014/occ-issues-bulletin-application-guidance-federal-savings-associations-and-rescission-ots-documents2026-04-15T21:31Zyearly https://www.findknowdo.com/news/12/02/2014/occ-issues-calendar-year-2015-fees-and-assessments-structure2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/21/2013/occ-issues-final-rule-lending-limits-%28pre-fed.-reg.-version%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/12/13/2013/occ-issues-final-rule-regarding-muni-advisor-registration2026-04-15T21:31Zyearly https://www.findknowdo.com/news/03/07/2014/occ-issues-interim-final-rule-making-basel-iii-technical-and-conforming-amendments-capital-requirements2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/13/2014/occ-issues-interim-volcker-rule-examination-procedures2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/24/2014/occ-issues-new-comptrollers-booklet-msrb-rules2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/10/2015/occ-issues-new-comptrollers-handbook-booklet-personal-fiduciary-activities2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/22/2015/occ-issues-new-comptrollers-handbook-booklet-government-securities-act2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/30/2015/occ-issues-report-risks-faced-national-banks-and-federal-savings-associations-%28-lofchie-comment%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/11/2014/occ-issues-request-comment-revision-information-collection-process-%28fed.-reg.%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/03/2015/occ-issues-revised-guidance-subordinated-debt-issued-national-banks2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/05/2014/occ-issues-risk-management-guidance2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/12/2014/occ-issues-updated-comptrollers-booklet-lease-financing2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/14/2015/occ-issues-updated-comptrollers-handbook-booklet-conflicts-interest2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/11/2015/occ-issues-updated-comptrollers-handbook-booklet-deposit-related-consumer-credit2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/28/2014/occ-issues-updated-comptrollers-handbook-booklet-electronic-fund-transfers2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/26/2014/occ-issues-updated-comptrollers-handbook-booklet-federal-branches-and-agencies-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/20/2014/occ-issues-updated-comptrollers-handbook-booklet-merchant-processing2026-04-15T21:31Zyearly https://www.findknowdo.com/news/12/17/2014/occ-issues-updated-comptrollers-handbook-booklet-truth-lending-act2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/16/2015/occ-issues-updated-comptrollers-handbook-litigation-and-other-legal-matters2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/14/2015/occ-issues-updated-comptrollers-handbook-real-estate-settlement-procedures-act2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/17/2015/occ-issues-updated-comptrollers-handbook-residential-real-estate-lending2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/15/2015/occ-issues-updated-comptrollers-handbook-trade-finance-and-services2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/19/2014/occ-issues-updated-comptrollers-licensing-manual-booklet-federal-branches-and-agencies2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/07/2013/occ-names-donna-murphy-director-community-and-consumer-law2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/03/2014/occ-names-gary-whalen-deputy-comptroller-economic-and-policy-analysis2026-04-15T21:31Zyearly https://www.findknowdo.com/news/10/03/2014/occ-names-kathy-murphy-senior-deputy-comptroller-management-and-cfo2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/07/2013/occ-names-larry-hattix-senior-deputy-comptroller-enterprise-governance-and-ombudsman2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/27/2015/occ-names-michael-brickman-deputy-comptroller-thrift-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/01/29/2014/occ-names-molly-scherf-deputy-comptroller-large-bank-supervision2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/13/2015/occ-names-new-deputy-comptroller-capital-and-regulatory-policy2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/01/2015/occ-names-richard-taft-deputy-comptroller-credit-risk2026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/06/2015/occ-names-roy-madsen-deputy-comptroller-strategic-management2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/19/2012/occ-notice-announcing-compliance-extension-lending-limits-rule2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/08/2013/occ-notice-regarding-company-run-annual-stress-test-reporting-template-and-documentation-covered-institutions-total-consolidated-assets-50-billion-or-more-%28fed.-reg.-version%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/30/2012/occ-notices-proposed-rulemaking-regulatory-capital-basel-iii-and-standardized-and-advanced-approaches2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/18/2012/occ-officials-testify-hsbc-bank-secrecy-and-money-laundering-issues-%28occ-release%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/04/05/2011/occ-proposal-expand-occ-internal-cross-margining-program2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/07/2011/occ-proposed-rule-change-accommodate-clearance-relative-performance-options2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/02/2012/occ-proposed-rule-retail-foreign-exchange-transactions2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/13/2014/occ-proposes-amendments-annual-stress-test-rule2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/16/2012/occ-proposes-annual-stress-test-reporting-requirements-covered-institutions-consolidated-assets-50-billion-or-more2026-04-15T21:31Zyearly https://www.findknowdo.com/news/03/15/2013/occ-proposes-reporting-requirements-annual-stress-test-covered-institutions-consolidated-assets-10-billion-50-billion2026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/19/2014/occ-proposes-rule-increase-amount-semiannual-assessment-national-bank-and-fsas-assets-over-40-billion2026-04-15T21:31Zyearly https://www.findknowdo.com/news/05/22/2014/occ-proposes-rule-integrate-national-banks-and-federal-savings-association-rules2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/18/2014/occ-proposes-schedule-shift-and-adjustments-regulatory-capital-projections2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/12/2013/occ-publishes-guidance-when-independent-consultants-are-required-part-enforcement-settlement2026-04-15T21:31Zyearly https://www.findknowdo.com/news/12/02/2013/occ-publishes-liquidity-coverage-ratio-proposed-banking-regulations-%28fed.-reg.-version%292026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/25/2012/occ-release-bank-accounting-advisory-series-updated2026-04-15T21:31Zyearly https://www.findknowdo.com/news/08/02/2012/occ-releases-cra-evaluations-18-national-banks-and-federal-savings-associations2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/01/2013/occ-releases-dodd-frank-stress-testing-scenarios-2014-and-final-policy-statement2026-04-15T21:31Zyearly https://www.findknowdo.com/news/11/21/2013/occ-releases-final-guidance-regarding-deposit-advance-products2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/26/2012/occ-releases-july-edition-interpretations-and-actions-2011-20122026-04-15T21:31Zyearly https://www.findknowdo.com/news/12/20/2013/occ-releases-report-risks-facing-national-banks-and-federal-savings-associations2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/05/2012/occ-report-discusses-risks-facing-national-banks-and-federal-savings-associations2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/18/2013/occ-report-highlights-risks-facing-national-banks-and-federal-savings-associations2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/26/2012/occ-report-usdas-business-and-industry-guaranteed-loan-program2026-04-15T21:31Zyearly https://www.findknowdo.com/news/10/30/2014/occ-revises-policy-and-procedures-handling-matters-requiring-attention2026-04-15T21:31Zyearly https://www.findknowdo.com/news/07/26/2012/occ-takes-actions-against-capital-one-assure-servicemembers-receive-credit-protections-their-mortgages-and-other-loans2026-04-15T21:31Zyearly https://www.findknowdo.com/news/06/07/2013/occ-warns-non-dealer-banks-imminent-effect-clearing-requirement2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/12/2014/occs-heightened-standards-large-financial-institutions-%28fed.-reg.%292020-12-15T03:06Znever https://www.findknowdo.com/news/07/28/2015/occ-frb-and-fdic-finalize-revisions-regulatory-capital-rule2026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/06/2014/occ-frb-and-fdic-issue-guidance-implementing-stress-tests-banks-between-10-and-50-billion-total-consolidated-assets2026-04-15T21:18Zyearly https://www.findknowdo.com/news/08/20/2013/occ-frb-and-fdic-seek-comment-notice-proposed-rulemaking-supplementary-leverage-ratio-g-sibs-%28fed.-reg.%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/11/01/2012/ocie-director-conflicts-interest-and-risk-governance-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/08/24/2015/ocie-finds-deficiencies-implementation-controls-across-firms-%28-lofchie-comment%292022-04-30T01:45Znever https://www.findknowdo.com/news/08/14/2012/october-2012-industry-wide-disaster-recovery-test-%28ice-clear-u.s.-clearing-notices%292020-12-15T04:12Znever https://www.findknowdo.com/news/04/24/2012/oecd-adopts-recommendation-regulatory-policy-and-governance2020-08-06T23:22Znever https://www.findknowdo.com/news/02/13/2014/oecd-publishes-global-standard-automatic-exchange-information-prevent-tax-avoidance-%28-youtube-musical-selection%292021-06-28T16:46Znever https://www.findknowdo.com/news/04/02/2012/oecd-phase-3-report-implementing-oecd-anti-bribery-convention-united-kingdom2021-06-11T18:50Znever https://www.findknowdo.com/news/04/21/2015/ofac-acting-director-testifies-senate-agriculture-committee2026-06-19T22:32Zmonthly https://www.findknowdo.com/news/04/17/2014/ofac-designates-three-individuals-and-one-entity-its-zimbabwe-list-%28-turza-comment%292026-04-15T21:04Zyearly https://www.findknowdo.com/news/07/31/2015/ofac-expands-sdn-and-ssi-lists-include-russia-and-ukraine-related-individuals-and-entities-%28-treanor-comment%292026-04-15T21:04Zyearly https://www.findknowdo.com/news/04/20/2015/ofac-updates-faq-about-cuba-sanctions-program-limits-travelers-free-time-%28-lofchie-video-selection%292026-04-15T21:04Zyearly https://www.findknowdo.com/news/07/23/2012/office-financial-research-2012-annual-report-congress2022-07-27T19:43Znever https://www.findknowdo.com/news/12/17/2013/office-financial-research-issues-2013-annual-report-congress-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/10/02/2012/office-international-affairs-internal-operations-and-travel-oversight-%28oig-report%292021-06-11T21:35Znever https://www.findknowdo.com/news/04/19/2012/office-minority-and-women-inclusion-annual-report-%28dodd-frank-study%292020-08-24T19:59Znever https://www.findknowdo.com/news/10/21/2014/office-municipal-securities-director-leave-sec2020-12-15T02:09Znever https://www.findknowdo.com/news/08/17/2011/official-journal-european-union-text-adopted-re.-securities-be-offered-public-and-harmonisation-transparency-%28amendment-directives-2003/71/ec-and-2004/109/ec%292020-12-15T03:14Znever https://www.findknowdo.com/news/08/04/2015/ofr-compares-u.s.-and-international-systemically-important-banks2022-07-27T19:43Znever https://www.findknowdo.com/news/12/05/2014/ofr-director-berner-discusses-filling-gaps-data-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/06/08/2015/ofr-director-berner-discusses-financial-sector-growth-and-stability-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/03/25/2015/ofr-director-berner-discusses-standards-financial-data-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/01/03/2014/ofr-issues-2013-annual-report-%28-delta-strategy-group-summary%292022-07-27T19:43Znever https://www.findknowdo.com/news/12/02/2014/ofr-issues-2014-annual-report-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/07/23/2015/ofr-issues-incorporating-liquidity-shocks-and-feedbacks-bank-stress-tests-brief2022-07-27T19:43Znever https://www.findknowdo.com/news/05/13/2015/ofr-issues-working-paper-examining-influence-systemic-importance-indicators-banks-credit-default-swap-spreads2022-07-27T19:43Znever https://www.findknowdo.com/news/03/04/2015/ofr-issues-working-paper-predictability-frb-stress-test-results2022-07-27T19:43Znever https://www.findknowdo.com/news/07/02/2014/ofr-issues-working-paper-shadow-banking2022-07-27T19:43Znever https://www.findknowdo.com/news/05/29/2015/ofr-issues-working-paper-systemwide-commonalities-market-liquidity-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/03/17/2015/ofr-publishes-brief-u.s.-stock-prices-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/02/13/2015/ofr-publishes-working-paper-process-systems-modeling-paradigm-analyzing-systemic-risk-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/05/08/2015/ofr-releases-working-papers-potential-risks-central-clearing-and-otc-derivative-transactions-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/06/24/2015/ofr-updates-its-assessment-risks-financial-stability-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/06/12/2015/ofr-urges-more-transparency-bank-capital-relief-trades2022-07-27T19:43Znever https://www.findknowdo.com/news/07/30/2015/ofr-working-paper-finds-problems-form-pf2022-07-27T19:43Znever https://www.findknowdo.com/news/12/17/2012/oft-gives-green-light-lse-acquisition-lch.clearnet2021-06-11T20:18Znever https://www.findknowdo.com/news/09/01/2011/oft-unfair-relationships-enforcement-action-under-part-8-enterprise-act-20022020-08-06T23:22Znever https://www.findknowdo.com/news/10/08/2013/ohio-securities-commissioner-andrea-seidt-lead-nasaa2024-02-03T22:51Znever https://www.findknowdo.com/news/01/22/2013/oig-report-evaluation-secs-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/07/04/2011/ojeu-publishes-aifm-directive2020-08-06T23:22Znever https://www.findknowdo.com/news/03/11/2014/box-highlights-lofchies-house-testimony-reg-nms2020-12-03T16:59Znever https://www.findknowdo.com/news/08/31/2012/one-year-extension-current-u.s.-withholding-tax-regime-dividend-equivalent-payments-equity-swaps-and-other-derivatives2020-08-24T19:53Znever https://www.findknowdo.com/news/08/19/2011/onechicago-offers-derivatives-counter-europe-short-selling-ban-%28news-story%292021-06-11T18:17Znever https://www.findknowdo.com/news/11/07/2012/online-access-fcm-financial-information-now-available-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/05/27/2014/ontario-superior-court-issues-first-prison-sentence-under-canadas-corruption-foreign-public-officials-act2021-06-28T16:50Znever https://www.findknowdo.com/news/05/10/2012/open-cftc-meeting-today-930-a.m.-%28statements-and-fact-sheet-included%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/open-commission-meeting-consideration-rules-implementing-dodd-frank-act-cftc-chairman-gary-genslers-opening-remarks2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/26/2011/open-meeting-eleventh-series-proposed-rules-under-dodd-frank-act2020-12-15T04:34Znever https://www.findknowdo.com/news/04/27/2011/open-meeting-fourteenth-series-proposed-rules-under-dodd-frank-act2020-12-15T06:05Znever https://www.findknowdo.com/news/01/04/2011/open-meeting-ninth-series-proposed-rules-under-dodd-frank-act2020-12-15T05:10Znever https://www.findknowdo.com/news/01/04/2011/open-meeting-tenth-series-proposed-rules-under-dodd-frank-act2020-12-15T05:16Znever https://www.findknowdo.com/news/03/24/2011/open-meeting-thirteenth-series-proposed-rules-under-dodd-frank-act2020-12-15T05:44Znever https://www.findknowdo.com/news/01/26/2011/open-meeting-twelfth-series-proposed-rules-under-dodd-frank-act2020-12-15T06:06Znever https://www.findknowdo.com/news/12/23/2011/open-meeting-two-final-rules-%28final-rules%292020-12-15T06:36Znever https://www.findknowdo.com/news/12/06/2011/open-meeting-two-final-rules-and-one-proposal-%28final-and-proposed-rules%292020-12-15T06:50Znever https://www.findknowdo.com/news/09/08/2011/open-meeting-two-proposed-rules-under-dodd-frank-act-%28proposed-rules%292020-12-15T02:13Znever https://www.findknowdo.com/news/07/07/2011/open-meeting-consider-effective-dates-provisions-dodd-frank-act2020-12-15T04:25Znever https://www.findknowdo.com/news/08/25/2011/opening-remarks-conference-commodity-markets-%28speech%292020-12-15T04:55Znever https://www.findknowdo.com/news/07/10/2012/opening-statement-commissioner-mark-wetjen-cftc-open-meeting2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/31/2011/opening-statement-commissioner-scott-d.-omalia2020-12-15T03:54Znever https://www.findknowdo.com/news/07/10/2012/opening-statement-commissioner-scott-omalia-cftc-meeting-consider-two-final-rules-and-one-proposed-rule2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/20/2010/opening-statement-open-meeting-eighth-series-proposed-rulemakings-under-dodd-frank-act2020-12-15T06:44Znever https://www.findknowdo.com/news/09/19/2011/operations-professional-qualification-examination-%28notice%292020-12-03T15:30Znever https://www.findknowdo.com/news/04/11/2011/opinion-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparts-and-trade-repositories2020-08-06T23:22Znever https://www.findknowdo.com/news/06/07/2012/opportunities-exist-improve-secs-oversight-financial-industry-regulatory-authority-%28dodd-frank-study%292020-08-24T19:59Znever https://www.findknowdo.com/news/09/14/2011/options-clearing-corp.-proposal-adopt-fitness-standards-members-%28proposed-rule%292020-08-24T19:59Znever https://www.findknowdo.com/news/08/12/2015/options-clearing-corporation-suggests-revisions-new-dol-proposed-regs2021-06-18T18:23Znever https://www.findknowdo.com/news/09/18/2012/options-clearing-corporation-proposed-rule-change-relating-clearance-and-settlement-over-counter-options2020-12-15T06:31Znever https://www.findknowdo.com/news/03/07/2014/options-exchanges-ask-big-changes-proposed-dividend-equivalent-regulations2020-08-24T19:23Znever https://www.findknowdo.com/news/07/02/2012/order-approving-proposed-phlx-rule-change-modified-amendment-no.-1-accept-inbound-orders-nasdaq-omx-bxs-new-options-market-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/order-approving-proposed-rule-change-nasdaq-options-market-accept-inbound-orders-nasdaq-omx-bxs-new-options-market-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/25/2011/order-approving-adjustment-inflation-dollar-amount-tests-advisers-act-rule-205-32020-12-03T13:37Znever https://www.findknowdo.com/news/07/05/2012/order-approving-ficc-proposed-rule-change-clarify-ability-government-securities-division-use-implied-volatility-indicators-part-volatility-model-its-clearing-fund-formula2020-12-15T02:31Znever https://www.findknowdo.com/news/07/05/2012/order-approving-occ-proposed-rule-change-relating-adjustment-panel-voting-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/order-approving-proposed-icc-rule-change-add-rules-related-clearing-emerging-markets-sovereign-index-cds-%28sec-release%292020-12-02T23:39Znever https://www.findknowdo.com/news/01/28/2011/order-approving-proposed-rule-change-adopting-finra-rules-regarding-books-and-records2023-05-20T20:55Znever https://www.findknowdo.com/news/01/03/2011/order-exempting-trading-and-clearing-certain-products-related-cboe-gold-etf-volatility-index-and-similar-products2021-01-24T02:55Znever https://www.findknowdo.com/news/07/03/2012/order-granting-accelerated-approval-proposed-rule-change-amending-nyse-amex-options-rule-928ny-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/10/2012/order-granting-accelerated-approval-proposed-rule-change-amend-cme-rules-relating-interest-rate-swaps-clearing-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/25/2012/order-granting-approval-proposed-rule-change-relating-finras-trading-activity-fee-rate-transactions-covered-equity-securities-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/25/2012/order-granting-approval-proposed-rule-change-modified-amendment-no.-1-relating-proposed-rule-g-43-brokers-brokers-proposed-amendments-rule-g-8-books-and-records...2020-12-15T06:28Znever https://www.findknowdo.com/news/01/27/2011/order-granting-approval-amendments-msrb-rule-32020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/order-granting-approval-nyse-arca-proposed-rule-change-relating-listing-and-trading-ishares-strategic-beta-u.s.-large-cap-fund-and-ishares-strategic-beta-u.s.-small-cap-fund-%28sec-release%292020-12-03T11:19Znever https://www.findknowdo.com/news/06/26/2012/order-granting-approval-proposed-rule-change-adding-new-paragraph-%28cc%29-nyse-arca-options-rule-6.62-provide-post-no-preference-light-only-quotation-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/18/2012/order-granting-approval-proposed-rule-change-amending-nyse-amex-equities-rule-107b-add-class-supplemental-liquidity-providers-are-registered-market-makers-exchange2020-08-24T20:06Znever https://www.findknowdo.com/news/06/20/2012/order-granting-approval-proposed-rule-change-list-shares-nuveen-long/short-commodity-total-return-fund-under-nyse-amex-rule-1600-et-seq.-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/26/2012/order-granting-approval-proposed-rule-change-modified-amendment-no.-1-thereto-amend-commentary-.01-nyse-arca-rule-6.35-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/12/18/2012/order-granting-approval-proposed-rules-auditing-standard-no.-16-communications-audit-committees-and-related-and-transitional-amendments-pcaob-standards-%28sec-pre-fed.-reg.-version%292020-12-15T05:12Znever https://www.findknowdo.com/news/07/05/2012/order-granting-approval-proposed-rule-changes-adopting-nyse-rule-107c-adopting-nyse-amex-rule-107c-and-granting-exemptions-pursuant-rule-612%28c%29-regulation-nms-%28sec-release%292020-12-03T16:59Znever https://www.findknowdo.com/news/07/09/2012/order-granting-proposed-c2-rule-change-implement-disaster-recovery-facility-%28sec-notice%292020-12-15T03:17Znever https://www.findknowdo.com/news/06/21/2012/order-instituting-proceedings-determine-whether-approve-or-disapprove-proposed-ise-rule-change-modified-amendment-no.-1-add-index-option-product-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/09/07/2012/order-making-fiscal-year-2013-annual-adjustments-registration-fee-rates-%28sec-fed.-reg.-version%292020-08-24T19:53Znever https://www.findknowdo.com/news/01/18/2012/order-staying-case-%28order%292020-12-15T04:27Znever https://www.findknowdo.com/news/02/08/2011/orderly-liquidation-termination-provision-swap-trading-relationship-documentation-swap-dealers-and-major-swap-participants2020-12-15T05:50Znever https://www.findknowdo.com/news/11/08/2012/organizations-letter-opposing-global-and-extraterritorial-financial-transactions-tax-%28ftt%29-proposals2020-08-06T23:22Znever https://www.findknowdo.com/news/04/18/2011/otc-derivatives-market-reforms-progress-report-implementation2020-08-06T23:22Znever https://www.findknowdo.com/news/09/10/2014/otc-derivatives-regulators-group-issues-report-g20-cross-border-implementation-issues-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/03/31/2014/otc-derivatives-regulators-issue-report-g202020-12-15T06:07Znever https://www.findknowdo.com/news/11/07/2014/otc-derivatives-regulators-issue-report-g20-leaders2020-08-24T19:03Znever https://www.findknowdo.com/news/05/18/2012/ots-integration-rescission-ots-documents-%28occ-bulletin%292020-12-15T05:44Znever https://www.findknowdo.com/news/09/13/2011/outline-final-dodd-frank-title-vii-rules-cftc-may-consider-2011-and-first-quarter-2012-%28notice%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/13/2012/overall-182-billion-committed-stabilize-aig-during-financial-crisis-now-fully-recovered-%28u.s.-department-treasury%292020-08-06T23:22Znever https://www.findknowdo.com/news/04/16/2013/oversight-federal-housing-finance-agency-evaluating-fhfa-regulator-and-conservator2020-12-15T02:36Znever https://www.findknowdo.com/news/07/26/2012/ownership-and-control-reports-forms-102/102s-40/40s-and-71-proposed-rule-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/18/2015/oxfam-america-inc.-demands-sec-action-energy-payment-rule-case2020-12-15T06:44Znever https://www.findknowdo.com/news/10/11/2012/pamela-dyson-named-secs-deputy-chief-information-officer2020-08-06T23:22Znever https://www.findknowdo.com/news/05/07/2013/panels-sec-credit-ratings-roundtable2024-01-31T14:59Znever https://www.findknowdo.com/news/09/19/2011/parliament-%28hansard-house-commons%29-treasury-european-regulation-financial-services2020-08-24T20:06Znever https://www.findknowdo.com/news/07/21/2014/parties-submit-supplemental-briefs-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/12/21/2012/paul-beswick-named-sec-chief-accountant2020-08-24T19:46Znever https://www.findknowdo.com/news/08/21/2012/pcaob-report-interim-inspection-program-related-audits-brokers-and-dealers-finds-material-deficiences-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/06/11/2014/pcaob-adopts-amendments-auditing-standards-regarding-significant-unusual-transactions2021-06-28T16:09Znever https://www.findknowdo.com/news/07/14/2014/pcaob-proposes-amendments-auditing-standards2021-06-28T16:06Znever https://www.findknowdo.com/news/11/13/2013/pcaob-proposes-rules-regarding-auditing-standards-broker-dealers2020-08-24T19:31Znever https://www.findknowdo.com/news/06/25/2015/pcaob-proposes-rules-implement-reorganization-auditing-standards-and-related-changes-%28fed.-reg.%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/24/2014/pcaob-proposed-rule-regarding-auditing-standard-no.-18-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/08/24/2011/pcaob-temporary-rule-inspections-related-broker-dealer-audits-%28final-rule%29-%28temporary%29%29-sec-notice-76-fr-529962020-08-06T23:22Znever https://www.findknowdo.com/news/02/09/2011/pending-rulemakings-under-regulation-z2020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/pension-funds-owners-and-investors-voice-working-families-%28speech-sec-commissioner-luis-.-aguilar%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/27/2012/performance-disclosure-forex-ctas-%28interpretive-release%292024-01-29T03:21Znever https://www.findknowdo.com/news/01/13/2012/performance-registration-functions-national-futures-association-respect-swap-dealers-and-major-swap-participants-%28notice-order%292024-01-29T14:26Znever https://www.findknowdo.com/news/08/01/2012/permissible-investments-federal-and-state-savings-associations-corporate-debt-securities-%28fdic-fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/11/20/2012/permitted-purchases-debt-securities-business-and-industrial-development-companies-%28sec-final-rule-pre-fed.-reg.-version%292021-11-26T20:35Znever https://www.findknowdo.com/news/11/26/2012/permitted-purchases-debt-securities-business-and-industrial-development-companies-final-rule-%28sec-fed.-reg.-version%292021-11-26T20:35Znever https://www.findknowdo.com/news/01/10/2012/petitioners-emergency-motion-stay-rule-%28brief%292020-12-15T06:46Znever https://www.findknowdo.com/news/01/18/2012/petitioners-opposition-respondents-motion-dismiss-petitioners-response-respondents-motion-hold-proceedings-abeyance-%28briefs%292020-12-15T05:18Znever https://www.findknowdo.com/news/08/19/2013/philip-falcone-and-harbinger-capital-consent-secs-findings-and-sanctions-%28-lofchie-comment%292021-01-24T05:23Znever https://www.findknowdo.com/news/07/30/2012/phlx-immediate-effective-rule-change-updating-trading-floor-qualification-examination2020-08-06T23:22Znever https://www.findknowdo.com/news/07/30/2012/phlx-immediately-effective-rule-change-terminating-revenue-sharing-agreement-corrliex2020-08-06T23:22Znever https://www.findknowdo.com/news/07/18/2012/phlx-proposed-rule-change-regarding-strike-price-intervals-short-term-option-program2020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2012/phlx-proposed-rule-change-relating-pricing-select-symbols-and-multiply-listed-options-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2012/phlx-proposed-rule-change-respect-amendment-laws-its-parent-corporation-nasdaq-omx-group-inc.-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/04/2011/pillar-3-disclosure-requirements-remuneration2020-08-24T19:59Znever https://www.findknowdo.com/news/01/05/2011/pillar-3-disclosure-requirements-remuneration-consultative-document-released-basel-committee2020-08-24T19:59Znever https://www.findknowdo.com/news/08/27/2013/point-law-article-regulatory-complicity-nasdaqs-troubles-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/04/01/2012/policy-statement-%28ps12/6%29-cass-resolution-pack2020-08-06T23:22Znever https://www.findknowdo.com/news/11/04/2011/policy-statement-strengthening-capital-standards-3-feedback-and-final-rules-crd32020-08-06T23:22Znever https://www.findknowdo.com/news/05/15/2012/political-contributions-certain-investment-advisers-sec-release-ia-3403-%28sec-final-rule-technical-amendment%292021-02-01T19:48Znever https://www.findknowdo.com/news/01/10/2011/political-points2020-12-15T04:19Znever https://www.findknowdo.com/news/06/24/2013/portfolio-reconciliation-and-swap-trading-relationship-documentation-requirements-approaching2022-11-19T16:31Znever https://www.findknowdo.com/news/01/26/2011/position-limits-and-burden-proof2020-12-15T06:53Znever https://www.findknowdo.com/news/11/01/2011/position-limits-futures-and-swaps-%28final-rule%292020-12-15T05:11Znever https://www.findknowdo.com/news/09/19/2011/potential-applicability-msrb-rules-certain-direct-purchases-and-bank-loans-%28notice%292020-12-15T06:48Znever https://www.findknowdo.com/news/08/16/2012/pre-dispute-arbitration-agreements-involving-disputes-related-cftc-part-165-whistleblower-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/19/2012/presentation-mfgi-customers-and-creditors2020-12-15T06:44Znever https://www.findknowdo.com/news/03/21/2011/presidency-compromise-proposal-regulation-european-parliament-and-council-derivative-transactions-central-counterparties-and-trade-repositories2020-08-06T23:22Znever https://www.findknowdo.com/news/05/03/2011/presidency-compromise-proposal-derivative-transactions-central-counterparties-and-trade-repositories-view-discussion-meeting-working-party-financial-services-attaches2020-08-06T23:22Znever https://www.findknowdo.com/news/01/30/2015/president-and-ceo-federal-reserve-bank-boston-discusses-cybersecurity-and-cyber-threats2021-03-20T16:47Znever https://www.findknowdo.com/news/01/06/2015/president-announces-intent-nominate-allan-landon-frb2026-04-15T21:18Zyearly https://www.findknowdo.com/news/01/31/2014/president-nominates-norman-bay-be-ferc-commissioner-chairman2020-08-24T19:23Znever https://www.findknowdo.com/news/01/24/2013/president-obama-nominates-mary-jo-white-sec-chairman2020-08-24T19:46Znever https://www.findknowdo.com/news/04/05/2012/president-obama-signs-jobs-bill-%28h.r.-3606%29-law2020-12-04T23:35Znever https://www.findknowdo.com/news/02/02/2015/president-obama-proposes-fy-2016-budget2020-08-24T19:00Znever https://www.findknowdo.com/news/01/21/2015/president-proposes-increase-capital-gains-tax-and-bank-tax-state-union-address2020-08-24T19:00Znever https://www.findknowdo.com/news/12/17/2014/president-signs-consolidated-and-further-continuing-appropriations-act-20152020-12-15T03:27Znever https://www.findknowdo.com/news/12/19/2014/president-signs-bill-support-community-financial-institutions-and-small-businesses2020-12-15T03:26Znever https://www.findknowdo.com/news/04/04/2014/president-signs-executive-order-declaring-south-sudan-national-emergency-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/08/12/2014/president-signs-money-remittances-improvement-act-20142020-12-15T04:00Znever https://www.findknowdo.com/news/12/16/2014/president-sign-ukraine-freedom-support-act-%28-turza-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/12/19/2012/price-momentum-etfs-obtain-sec-order-and-no-action-letter2021-01-24T02:59Znever https://www.findknowdo.com/news/06/12/2015/principles-financial-market-infrastructures-update-assessment-implementation-published2020-12-15T05:13Znever https://www.findknowdo.com/news/09/24/2012/privacy-act-1974-system-records-notice-%28cftc-notice-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/31/2012/privacy-consumer-financial-information-under-title-v-gramm-leach-bliley-act-%28fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/11/2011/private-placements-securities2020-12-15T04:39Znever https://www.findknowdo.com/news/06/27/2013/procedural-rule-establish-supervisory-authority-over-certain-nonbank-covered-persons-based-risk-determination-final-rule-%28cfpb-pre-fed.-reg.-version%292020-08-06T23:22Znever https://www.findknowdo.com/news/05/31/2013/procedures-establish-appropriate-minimum-block-sizes-large-notional-facility-swaps-and-block-trades-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/15/2012/procedures-establish-appropriate-minimum-block-sizes-large-notional-facility-swaps-and-block-trades-further-notice-proposed-rulemaking2020-12-15T02:22Znever https://www.findknowdo.com/news/02/26/2013/proceedings-commodity-futures-trading-commission-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/06/2011/process-designated-contract-market-or-swap-execution-facility-make-swap-available-trade-under-section-2%2811%29%288%29-commodity-exchange-act-%28proposed-rule%292020-12-15T06:46Znever https://www.findknowdo.com/news/06/04/2013/process-designated-contract-market-or-swap-execution-facility-make-swap-available-trade-swap-transaction-compliance-and-implementation-schedule-and-trade-execution-requirement-%28final-rule-fed.-reg.2020-12-04T22:39Znever https://www.findknowdo.com/news/07/26/2012/process-submissions-review-security-based-swaps-mandatory-clearing-and-notice-filing-requirements-clearing-agencies-technical-amendments-rule-19b-4-and-form-19b-4...2020-12-14T08:10Znever https://www.findknowdo.com/news/08/28/2012/professional-associations-comments-et-guidance2020-12-15T03:36Znever https://www.findknowdo.com/news/08/19/2014/professor-craig-pirrong-comments-prospect-nationalizing-clearinghouses2024-01-31T02:36Znever https://www.findknowdo.com/news/05/26/2015/professors-submit-brief-supporting-fsocs-authority-%28-lofchie-comment-and-youtube-selection%292021-06-18T15:14Znever https://www.findknowdo.com/news/06/27/2012/prohibiting-aggregation-orders-satisfy-minimum-block-sizes-or-cap-size-requirements-and-establishing-eligibility-requirements-parties-block-trades-proposed-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/13/2012/prohibitions-and-restrictions-proprietary-trading-and-certain-interests-and-relationships-hedge-funds-and-covered-funds-%28proposed-rule%292021-06-15T20:08Znever https://www.findknowdo.com/news/01/28/2011/prompt-corrective-action-against-virginia-business-bank2020-09-28T15:54Znever https://www.findknowdo.com/news/05/16/2011/proposal-regulation-european-parliament-and-council-short-selling-and-certain-aspects-credit-default-swaps-general-approach2020-12-02T23:39Znever https://www.findknowdo.com/news/11/03/2011/proposal-regulation-markets-financial-instruments-and-amending-regulation-emir-otc-derivatives-central-counterparties-and-trade-repositories2020-08-06T23:22Znever https://www.findknowdo.com/news/11/03/2011/proposal-directive-modifying-transparency-directive-2004/109/ec2020-08-06T23:22Znever https://www.findknowdo.com/news/05/05/2011/proposal-adopt-finra-rule-investment-company-securities2020-12-15T03:09Znever https://www.findknowdo.com/news/04/27/2011/proposal-amend-finra-rule-new-issue-allocations-and-distributions2020-12-15T04:29Znever https://www.findknowdo.com/news/03/03/2011/proposal-correct-cross-references-finra-customer-code2020-08-06T23:22Znever https://www.findknowdo.com/news/06/27/2012/proposal-extend-pilot-program-permits-box-have-no-minimum-size-requirement-orders-entered-price-improvement-period-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/27/2014/proposed-amendments-nfa-articles-incorporation-regarding-changes-structure-board-directors-and-executive-committee-nfa-notice-i-14-082020-12-15T02:52Znever https://www.findknowdo.com/news/11/06/2012/proposed-amendments-nfa-corporate-documents-admit-sds-and-msps-association-%28welcome-new-members%292020-12-15T03:32Znever https://www.findknowdo.com/news/07/05/2012/proposed-amendments-nfas-bylaw-301-financial-requirements-section-5-and-registration-rules-regarding-swap-dealers-major-swap-participants-and-derivative-transaction-execution-facilities-%28nfa%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-bats-exchange-rule-change-extend-penny-pilot-program-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-bats-options-exchange-rule-change-extend-penny-pilot-program-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-bats-rule-change-adopt-new-market-maker-peg-order-available-exchange-market-makers-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-bats-rule-change-modify-rules-order-execution-order-routing-and-order-protection-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-box-rule-amend-box-options-exchange-llc-limited-liability-company-agreement-and-box-holdings-group-llc-limited-liability-company-agreement-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-byx-rule-change-adopt-new-market-maker-peg-order-available-exchange-market-makers-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-byx-rule-change-modify-exchange-rule-11.13-order-execution-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-c2-rule-change-relating-continuous-quotes-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-c2-rule-change-relating-exchanges-automated-improvement-mechanism-effective-immediate-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-c2-rule-change-relating-penny-pilot-program-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-c2-rule-change-amend-rule-8.2-regarding-market-maker-registration-cost-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-cboe-rule-change-relating-continuous-electronic-quotes-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-cboe-rule-change-relating-exchanges-automated-improvement-mechanism-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-cboe-rule-change-relating-penny-pilot-program-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-cboe-rule-change-amend-cboe-stock-exchange-fees-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-cboe-rule-change-amend-fees-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/04/15/2013/proposed-clarification-2013-escrows-final-rule2020-08-24T19:43Znever https://www.findknowdo.com/news/04/22/2013/proposed-clarifications-ability-repay/qm-and-mortgage-servicing-rules2020-12-15T02:48Znever https://www.findknowdo.com/news/06/27/2012/proposed-cme-rule-change-adopt-changes-would-affect-its-standard-portfolio-analysis-risk-methodology-certain-energy-futures-contracts-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/05/03/2013/proposed-delay-expansion-finra-rule-5270-%28front-running-block-transactions%292020-12-15T05:12Znever https://www.findknowdo.com/news/07/02/2012/proposed-edga-rule-change-relating-amendments-edga-exchange-inc.-fee-schedule-effectively-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-edga-rule-change-relating-new-market-access-risk-management-service-edgerisk-controlssm-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-edga-rule-change-relating-new-simultaneous-routing-functionality-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-edgx-rule-change-relating-new-simultaneous-routing-functionality-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-erisa-regulation-target-date-disclosure2021-09-21T22:51Znever https://www.findknowdo.com/news/10/09/2012/proposed-extension-temporary-rule-regarding-principal-trades-advisory-clients-proposed-rule-%28sec-pre-fed.-reg.-version%29-%28-lofchie-comment%292020-12-15T04:22Znever https://www.findknowdo.com/news/02/15/2013/proposed-finra-margin-requirements-credit-default-swaps-%28-lofchie-comment%292020-12-15T03:36Znever https://www.findknowdo.com/news/07/13/2012/proposed-finra-rule-change2020-12-15T03:54Znever https://www.findknowdo.com/news/03/26/2013/proposed-framework-reorganization-pcaob-auditing-standards-and-related-amendments-pcaob-auditing-standards-and-rules2021-06-14T13:54Znever https://www.findknowdo.com/news/11/08/2011/proposed-guidance-cpos-pool-funds-held-mf-global-inc.-%28notice%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/09/2012/proposed-icc-rule-change-amend-schedule-502-icc-rules-june-20-2012-index-maturity-%28sec-notice%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-ise-rule-change-amend-fees-certain-complex-orders-executed-exchange-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-ise-rule-change-amend-fees-certain-complex-orders-executed-exchange-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-ise-rule-change-amend-fees-certain-orders-executed-exchange-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-ise-rule-change-amend-ise-rule-715-reflect-modification-functionality-add-liquidity-order-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-ise-rule-change-extend-penny-pilot-program-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/10/2013/proposed-legislation-h.r.-1256-calls-cftc-and-sec-work-together-cross-border-rules-%28-youtube-selection%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/05/2012/proposed-msrb-rule-change-amend-rule-g-34-cusip-numbers-new-issue-and-market-information-requirements-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-nasdaq-omx-bx-rule-change-relating-extension-exchanges-penny-pilot-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-nasdaq-omx-bx-rule-change-adopt-transaction-and-routing-fees-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-nasdaq-omx-bx-rule-change-establish-tradeinfo-bx-and-bx-options-maintenance-tool-and-related-fees-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-nasdaq-omx-bx-rule-change-modify-bxs-fee-schedule-governing-order-routing-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-nasdaq-omx-bx-rule-change-respect-authority-exchange-or-nasdaq-execution-services-cancel-orders-when-technical-or-systems-issue-occurs-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/10/16/2012/proposed-nasdaq-rule-amendment-regarding-disclosure-requirements2020-12-15T03:05Znever https://www.findknowdo.com/news/07/16/2012/proposed-nasdaq-rule-change-relating-bx-options-routing-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/12/2012/proposed-nasdaq-rule-change-relating-customer-rebates-penny-pilot-options-%28sec-release%292020-12-15T02:29Znever https://www.findknowdo.com/news/07/12/2012/proposed-nasdaq-rule-change-delay-implementation-date-non-display-primary-pegged-orders-offset-amount-%28sec-release%292020-12-15T02:30Znever https://www.findknowdo.com/news/07/10/2012/proposed-nasdaq-rule-change-extend-fee-pilot-program-nasdaq-last-sale-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-nasdaq-rule-change-modify-its-excess-order-fee-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-nasdaq-rule-change-modify-nasdaqs-fee-schedule-governing-order-routing-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-nasdaq-rule-change-rule-4751%28f%29%287%29-concerning-processing-price-comply-order-%28sec-release%292020-12-15T06:02Znever https://www.findknowdo.com/news/06/28/2012/proposed-nasdaq-rule-change-terminate-revenue-sharing-agreement-and-delete-associated-fee-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-nasdaq-rule-change-respect-amendment-laws-its-parent-corporation-nasdaq-omx-group-inc.-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/proposed-nasdaq-rule-change-respect-authority-nasdaq-or-nasdaq-execution-services-cancel-orders-when-there-are-technical-issues-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/proposed-nyse-arca-rule-change-amending-nyse-arca-equities-schedule-fees-and-charges-exchange-services-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/proposed-nyse-arca-rule-change-amending-nyse-arca-options-fee-schedule-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/proposed-nyse-arca-rule-change-relating-listing-and-trading-global-alpha-beta-etf-%28sec-release%292021-01-24T02:58Znever https://www.findknowdo.com/news/07/16/2012/proposed-nyse-arca-rule-change-relating-advisorshares-active-bear-etf-%28sec-release%292021-01-24T02:59Znever https://www.findknowdo.com/news/06/28/2012/proposed-nyse-arca-rule-change-list-and-trade-option-contracts-overlying-10-shares-security-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-nyse-mkt-rule-change-adopting-rules-governing-listing-and-trading-new-products-known-divs-owls-and-risks-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/proposed-nyse-rule-change-amending-nyse-price-list-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/16/2012/proposed-nyse-rule-changes-transaction-fees-and-credits-within-its-price-list-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-nysemkt-rule-change-amending-certain-exchange-rules-related-floor-official-duties-and-responsibilities-exchanges-marketplace-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-nysemkt-rule-change-amending-nyse-amex-options-fee-schedule-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-phlx-rule-change-re-authority-exchange-or-nasdaq-execution-services-cancel-orders-when-tech-or-system-issue-occurs-and-describe-operation-error-account-nes2020-08-06T23:22Znever https://www.findknowdo.com/news/07/12/2012/proposed-phlx-rule-change-relating-routing-fees-bx-options-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/12/2012/proposed-phlx-rule-change-relating-extension-pilot-program-regarding-price-improvement-xl-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-phlx-rule-change-clarify-functioning-post-only-order-nasdaq-omx-psx-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-phlx-rule-change-establish-distributor-fees-two-related-options-market-data-products-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/29/2012/proposed-phlx-rule-change-modify-its-excess-order-fee-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/12/2012/proposed-phlx-rule-change-psx-rule-3301%28f%29%288%29-concerning-processing-price-comply-order-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/11/2013/proposed-policy-statement-scenario-design-framework-stress-testing-correction-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/01/13/2011/proposed-regulation-otc-derivatives-central-counterparties-and-trade-repositories-update2020-08-24T19:59Znever https://www.findknowdo.com/news/01/13/2011/proposed-regulation-short-selling-and-cds-update2020-12-02T23:39Znever https://www.findknowdo.com/news/01/26/2011/proposed-revisions-market-risk-capital-rule2020-08-24T19:59Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-adopting-new-rule-text-nyse-arca-rule-9.20%28b%29-conform-finras-telemarketing-rule-effective-immediately-%28sec-release%292021-02-01T20:05Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-adopting-new-text-nyse-arca-equities-rule-9.20%28b%29-conform-finras-telemarketing-rule-effective-immedialy-%28sec-release%292021-02-01T19:42Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-amending-commentary-nyse-arca-options-rule-6.72-order-extend-penny-pilot-options-classes-certain-issues-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-amending-commentary-nyse-mkt-rule-960ny-order-extend-penny-pilot-options-classes-certain-issues-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/09/2011/proposed-rule-change-amending-forms-broker-letters2020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-amending-nyse-amex-options-fee-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/27/2012/proposed-rule-change-amending-nyse-mkt-price-list-provide-additional-co-location-services-and-establish-related-fees-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-rule-change-applicable-new-version-nasdaq-totalview-itch-equities-depth-feed-and-related-distributor-and-administration-fees-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-rule-change-correcting-various-nasdaq-options-market-rules-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/10/2012/proposed-rule-change-deleting-nyse-mkt-llc-rule-428%28%29-and-amending-nyse-mkt-llc-rule-429-adopt-new-rule-text-conform-finras-telemarketing-rule-effective-immediately-%28sec-release%292021-02-01T19:42Znever https://www.findknowdo.com/news/07/10/2012/proposed-rule-change-deleting-nyse-mkt-llc-rule-440a-equities-which-addresses-telemarketing-and-adopting-new-nyse-mkt-llc-rule-effective-immediately-%28sec-release%292021-02-01T19:42Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-deleting-nyse-rule-440a-and-interpretation-440a/01-which-address-telemarketing-and-adopting-new-nyse-rule-effective-immediately-%28sec-release%292021-02-01T19:42Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-relating-amendments-edga-exchange-inc.-fee-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-relating-amendments-edgx-exchange-inc.-fee-schedule-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/05/24/2013/proposed-rule-change-relating-dissemination-agency-pass-through-mortgage-backed-securities-and-sba-backed-abs-traded-specified-pool-transactions2020-12-15T04:03Znever https://www.findknowdo.com/news/12/27/2012/proposed-rule-change-relating-finra-rule-4530-%28reporting-requirements-bad-events%292020-12-23T17:58Znever https://www.findknowdo.com/news/01/15/2013/proposed-rule-change-relating-finra-rule-4530-%28reporting-requirements-bad-stuff%292020-12-15T03:32Znever https://www.findknowdo.com/news/03/06/2013/proposed-rule-change-relating-finra-rule-8313-%28release-disciplinary-complaints-decisions-and-other-information%292020-12-15T03:16Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-relating-new-market-access-risk-management-service-edgerisk-controls-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/27/2012/proposed-rule-change-relating-establishment-new-options-market-nasdaq-omx-bx-options-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/10/2013/proposed-rule-change-adopt-interim-form-funding-portals-under-jobs-act2020-12-15T06:56Znever https://www.findknowdo.com/news/06/14/2013/proposed-rule-change-adopt-consolidated-finra-supervision-rules2020-12-15T03:28Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-amend-bats-rules-14.2-and-14.3-adopt-additional-listing-requirements-reverse-merger-companies-and-align-bats-rules-rules-other-sros-%28sec-release%292020-12-03T11:19Znever https://www.findknowdo.com/news/04/17/2014/proposed-rule-change-amend-finra-rule-118922020-12-15T06:44Znever https://www.findknowdo.com/news/01/07/2013/proposed-rule-change-amend-finra-rule-2267-%28investor-education-and-protection%292020-12-15T06:29Znever https://www.findknowdo.com/news/04/16/2013/proposed-rule-change-amend-finra-rule-5250-%28payments-market-making%292020-12-15T05:57Znever https://www.findknowdo.com/news/02/11/2013/proposed-rule-change-amend-finra-rules-accordance-regulation-nms-plan-address-extraordinary-market-volatility2022-11-21T16:23Znever https://www.findknowdo.com/news/01/07/2013/proposed-rule-change-amend-finras-customer-and-industry-codes-arbitration-procedure-revise-public-arbitrator-definition2020-12-03T01:46Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-amend-occs-laws-and-rules-terminate-occs-pledge-program-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-amend-occs-schedule-fees-eliminate-fees-certain-educational-brochures-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/10/12/2012/proposed-rule-change-amend-definition-money-market-instrument-finra-rule-6710%28o%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-change-amend-fee-schedule-trading-box-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/12/2012/proposed-rule-change-amend-trace-reporting-rules-relating-transfers-trace-eligible-securities-%28finra-release%292020-12-15T03:40Znever https://www.findknowdo.com/news/01/10/2013/proposed-rule-change-delay-implementation-date-finra-rule-5350-%28stop-orders%292020-12-15T03:23Znever https://www.findknowdo.com/news/01/30/2013/proposed-rule-change-delay-operative-date-finra-rule-6121.02-%28market-wide-circuit-breakers-nms-stocks%292020-12-15T03:08Znever https://www.findknowdo.com/news/12/07/2012/proposed-rule-change-expand-trading-halt-authority-based-actions-non-u.s.-regulators2020-12-15T03:09Znever https://www.findknowdo.com/news/01/31/2013/proposed-rule-change-extend-clearly-erroneous-pilot-period-and-adopt-new-provision-connection-limit-limit-down-plan2020-12-15T02:57Znever https://www.findknowdo.com/news/12/13/2012/proposed-rule-change-extend-expiration-date-finra-rule-0180-%28application-rules-security-based-swaps%292020-12-15T02:37Znever https://www.findknowdo.com/news/12/06/2012/proposed-rule-change-finra-definition-lawyer-%28-lofchie-comment%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/24/2011/proposed-rule-change-link-market-data-fees-and-transaction-execution-fees2020-08-24T19:59Znever https://www.findknowdo.com/news/07/06/2012/proposed-rule-change-make-non-substantive-technical-changes-supplemental-statement-income-required-be-filed-pursuant-finra-rule-4524-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-rule-change-modify-optional-depth-data-enterprise-license-fee-broker-dealer-distribution-depth-book-data-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/06/2012/proposed-rule-change-modify-fees-and-transaction-credits-applicable-members-use-finra/nyse-trade-reporting-%28finra-notice%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-modify-fees-and-transaction-credits-applicable-members-use-finra/nyse-trade-reporting-facility-effective-immediately-%28sec-release%292020-12-03T17:40Znever https://www.findknowdo.com/news/07/11/2012/proposed-rule-change-modify-phlxs-fee-schedule-governing-order-execution-its-nasdaq-omx-psx-facility-effective-immediately-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/10/2013/proposed-rule-change-restructure-quotation-collection-and-dissemination-otc-equity-securities-extension-time-period-sec-action2020-12-15T04:42Znever https://www.findknowdo.com/news/02/06/2013/proposed-rule-change-finra-laws-regarding-membership-fees2020-12-15T04:27Znever https://www.findknowdo.com/news/07/16/2012/proposed-rule-change-transaction-fees-and-credits-within-its-price-list-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/05/2012/proposed-rule-changes-amend-edga-rules-regarding-market-access-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-rule-changes-amend-edga-rules-add-route-peg-order-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/03/2012/proposed-rule-changes-amend-edgx-rules-regarding-market-access-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/02/2012/proposed-rule-changes-amend-edgx-rules-add-route-peg-order-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/11/27/2012/proposed-rule-capital-margin-and-segregation-requirements-security-based-sbsds-and-msbsps-and-capital-requirements-broker-dealers-%28pre-fed.-reg.-version-correction%292020-12-15T05:59Znever https://www.findknowdo.com/news/04/06/2012/proposed-rule-investment-company-advertising-target-date-retirement-fund-names-and-marketing-sec-release-33-9309-34-66720-ic-300262021-11-26T05:23Znever https://www.findknowdo.com/news/01/27/2011/proposed-rules-registration-swap-dealers-and-major-swap-participants2020-12-15T05:54Znever https://www.findknowdo.com/news/04/15/2014/prosecutors-bring-aml-fcpa-and-travel-act-charges-against-former-dap-executives2021-03-26T19:13Znever https://www.findknowdo.com/news/07/11/2011/prospectus-regulations-2011-published2020-08-24T20:06Znever https://www.findknowdo.com/news/01/13/2012/protection-cleared-swaps-customer-contracts-and-collateral-conforming-amendments-commodity-broker-bankruptcy-provisions-%28final-rule%292021-06-11T18:02Znever https://www.findknowdo.com/news/09/17/2012/public-company-accounting-oversight-board-notice-filing-proposed-rules-auditing-standard-no.-16-communications-audit-committees-and-related-and-transitional-amendments-pcaob-standards2020-12-03T01:59Znever https://www.findknowdo.com/news/02/10/2011/public-consultation-possible-measures-strengthen-bank-capital-requirements-counterparty-credit-risk2021-06-11T19:58Znever https://www.findknowdo.com/news/04/12/2011/publication-joint-study-feasibility-mandating-algorithmic-descriptions-derivatives2020-08-24T19:59Znever https://www.findknowdo.com/news/04/13/2011/pwc-court-application-lbie-administration2021-06-11T18:46Znever https://www.findknowdo.com/news/11/15/2012/pwc-estimates-few-financial-institutions-have-appointed-responsible-officers-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/07/26/2011/pwc-client-assets-update-securities-investor-protection-corporation-%28sipc%29-customer-omnibus-claim2021-06-11T17:37Znever https://www.findknowdo.com/news/06/27/2011/pwc-client-money-update-update-client-money-held-lehman-brothers-bankhaus-ag2021-06-11T17:22Znever https://www.findknowdo.com/news/06/27/2011/r-%28-application-cart%29-%28appellant%29-v-upper-tribunal-%28respondent%292020-08-06T23:22Znever https://www.findknowdo.com/news/09/20/2012/rand-center-study-hedge-funds-not-primary-cause-financial-crisis-calls-more-regulation-anyways-%28-lofchie-comment%292021-01-24T05:23Znever https://www.findknowdo.com/news/02/07/2013/rbs-fined-ps87.5-million-fsa-libor-failings2020-12-15T03:23Znever https://www.findknowdo.com/news/07/26/2011/re-proposal-shelf-eligibility-conditions-asset-backed-securities-and-other-additional-requests-comment2020-12-15T04:50Znever https://www.findknowdo.com/news/01/19/2011/re.-rule-201-reg.-sho2020-08-24T19:59Znever https://www.findknowdo.com/news/12/23/2010/re.-temporary-rule-regarding-principal-trades-advisory-clients2020-12-15T05:40Znever https://www.findknowdo.com/news/08/13/2012/real-time-public-reporting-swap-transaction-data-correction-effective-immediately-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/01/2012/real-time-public-reporting-swap-transaction-data-final-rule-correction-%28final-rule-correction%292020-12-15T06:48Znever https://www.findknowdo.com/news/12/23/2011/real-time-reporting-swap-transaction-data-%28final-rule%292020-12-15T02:11Znever https://www.findknowdo.com/news/04/16/2013/reassignment-staff-responsibilities-and-delegations-authority-%28cftc-final-rule%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/24/2012/recap-december-21-cftc-actions-including-cftc-cross-border-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/13/2012/recent-industry-survey-says-hedge-fund-assets-could-rise-5-trillion-next-five-years-%28mfa-blog-post%292021-06-15T20:01Znever https://www.findknowdo.com/news/02/25/2013/recommendations-india-u.s.-bilateral-tax-relationship2020-08-24T19:43Znever https://www.findknowdo.com/news/07/16/2012/regional-missouri-bank-marceline-missouri-assumes-all-deposits-glasgow-savings-bank-glasgow-missouri-%28fdic-press-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/01/2013/regional-office-director-merri-jo-gillette-leave-sec2020-08-06T23:22Znever https://www.findknowdo.com/news/08/30/2012/registration-date-swap-dealers2020-08-24T19:53Znever https://www.findknowdo.com/news/12/06/2011/registration-foreign-boards-trade-%28final-rule%292024-01-30T18:07Znever https://www.findknowdo.com/news/08/28/2012/registration-intermediaries-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2012/registration-swap-dealers-and-major-swap-participants-%28final-rules%292021-06-11T18:08Znever https://www.findknowdo.com/news/05/17/2011/regulation-amending-regulation-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/03/24/2011/regulation-european-parliament-and-council-%28amending-regulation-%28ec%29-no-1060/2009-credit-rating-agencies%292024-01-31T15:00Znever https://www.findknowdo.com/news/04/14/2011/regulation-european-parliament-and-council-amending-regulation-%28ec%29-no-1060/2009-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/03/08/2013/regulation-systems-compliance-and-integrity-%28sec-pre-fed.-reg.-version%292020-12-15T05:16Znever https://www.findknowdo.com/news/05/20/2013/regulation-systems-compliance-and-integrity-proposed-rules-extension-comment-period-%28sec-pre-fed.-reg.-version%292020-12-15T03:40Znever https://www.findknowdo.com/news/04/14/2015/regulators-call-more-data-industry-conference2020-12-15T06:52Znever https://www.findknowdo.com/news/04/14/2015/regulators-deliver-remarks-nasaa-and-secs-section-19%28d%29-conference-federal/state-cooperation2024-02-03T22:51Znever https://www.findknowdo.com/news/06/10/2014/regulators-issue-faqs-regarding-volcker-rule2021-06-11T18:02Znever https://www.findknowdo.com/news/12/17/2013/regulators-issue-final-supervisory-guidance-regarding-social-media-%28fed.-reg.%29-%28-lofchie-comment-and-youtube-selection%292021-06-12T21:44Znever https://www.findknowdo.com/news/07/13/2015/regulators-issue-joint-staff-report-volatility-treasury-markets-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T04:55Znever https://www.findknowdo.com/news/08/30/2013/regulators-issue-report-g20-cross-border-derivatives-regulation-%28-lofchie-comment%292020-12-15T05:15Znever https://www.findknowdo.com/news/12/23/2010/regulators-look-ease-entry-derivatives-clearing-%28wsj%292020-12-15T05:44Znever https://www.findknowdo.com/news/12/11/2014/regulators-note-disappearance-liquidity-markets-%28-lofchie-comment%292020-09-28T15:10Znever https://www.findknowdo.com/news/09/29/2014/regulators-question-banks-dividend-arbitrage-strategy2020-12-15T05:20Znever https://www.findknowdo.com/news/01/30/2015/regulators-release-guidance-private-student-loans-graduated-repayment-terms2020-08-06T23:22Znever https://www.findknowdo.com/news/11/07/2013/regulators-speak-mfa-outlook-2013-conference2021-01-24T05:23Znever https://www.findknowdo.com/news/06/19/2012/regulatory-capital-rules-advanced-approaches-risk-based-capital-rule-market-risk-capital-rule-%28fdic-financial-institution-letter%292020-12-15T06:54Znever https://www.findknowdo.com/news/06/08/2012/regulatory-capital-rules-advanced-approaches-risk-based-capital-rule-market-risk-capital-rule-%28proposed-rule%292021-06-15T19:59Znever https://www.findknowdo.com/news/06/19/2012/regulatory-capital-rules-regulatory-capital-implementation-basel-iii-minimum-regulatory-capital-ratios-capital-adequacy-and-transition-provisions-%28fdic-financial-institution-letter%292020-12-15T06:33Znever https://www.findknowdo.com/news/06/08/2012/regulatory-capital-rules-regulatory-capital-implementation-basel-iii-minimum-regulatory-capital-ratios-capital-adequacy-transition-provisions-and-prompt-corrective-action-%28proposed-rule%292021-06-16T14:33Znever https://www.findknowdo.com/news/06/19/2012/regulatory-capital-rules-standardized-approach-risk-weighted-assets-market-discipline-and-disclosure-requirements-%28fdic-financial-institution-letter%292020-12-15T05:42Znever https://www.findknowdo.com/news/06/08/2012/regulatory-capital-rules-standardized-approach-risk-weighted-assets-market-discipline-and-disclosure-requirements-%28proposed-rule%292021-06-15T20:00Znever https://www.findknowdo.com/news/02/01/2011/regulatory-relief-guidance-help-financial-institutions-and-facilitate-recovery-areas-california-affected-severe-weather2020-12-15T06:44Znever https://www.findknowdo.com/news/11/10/2014/reit-tax-developments-sears-explores-sale-leaseback-real-estate-reit-legislation-may-reduce-firpta-impact-reits2020-08-24T19:03Znever https://www.findknowdo.com/news/02/09/2011/release-ofac-civil-penalties-information2026-04-15T21:04Zyearly https://www.findknowdo.com/news/04/30/2013/relief-%28conditional-and-time-limited%29-swaps-prime-brokerage-%28cftc-letter-13-11%29-%28-lofchie-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/05/2011/remarks-conference-hosted-office-financial-research-and-financial-stability-oversight-council-%28speech%292022-07-27T19:43Znever https://www.findknowdo.com/news/05/18/2012/remarks-aicpa-council-spring-meeting-may-17-2012-%28speech-sec-commissioner-troy-.-paredes%292020-08-06T23:22Znever https://www.findknowdo.com/news/05/18/2012/remarks-37th-international-organization-securities-commissions-annual-conference-%28speech-sec-commissioner-elisse-b.-walter%292020-08-06T23:22Znever https://www.findknowdo.com/news/02/01/2012/remarks-john-c.-bogle-legacy-forum-%28speech%292020-12-15T06:27Znever https://www.findknowdo.com/news/02/01/2012/remarks-american-bar-association-committee-derivatives-and-futures-law-%28speech%292020-12-15T02:14Znever https://www.findknowdo.com/news/02/01/2012/remarks-domestic-trade-policy-committee-national-association-wheat-growers-winter-meeting-%28speech%292020-12-15T02:37Znever https://www.findknowdo.com/news/11/30/2011/remarks-eighth-annual-women-power-forum-washington-dc-%28speech%292020-12-15T04:05Znever https://www.findknowdo.com/news/05/24/2012/remarks-financial-accounting-foundations-2012-annual-board-trustees-dinner-%28speech-sec-commissioner-elisse-b.-walter%292020-08-06T23:22Znever https://www.findknowdo.com/news/03/07/2011/remarks-institute-international-bankers-annual-washington-conference2021-01-20T13:55Znever https://www.findknowdo.com/news/11/07/2011/remarks-sifma-2011-annual-meeting-%28speech%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/16/2011/remarks-university-chicago-law-school-%28speech%292020-12-15T03:59Znever https://www.findknowdo.com/news/06/19/2012/remarks-cftc-commissioner-scott-d.-omalia-sifma-tech-leaders-forum-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/14/2013/remarks-chairman-mary-jo-white-and-commissioner-luis-aguilar-sec-roundtable-how-change-current-credit-ratings-system2024-01-31T14:59Znever https://www.findknowdo.com/news/09/14/2012/remarks-fdic-acting-chairman-martin-j.-gruenberg-american-banker-regulatory-symposium2020-08-06T23:22Znever https://www.findknowdo.com/news/04/14/2011/remarks-gary-gensler-bringing-oversight-swaps-market-20th-annual-hyman-p.-minsky-conference-state-u.s.-and-world-economics2020-12-15T04:56Znever https://www.findknowdo.com/news/07/17/2012/remarks-sec-commissioner-troy-.-paredes-society-corporate-secretaries-governance-professionals-66th-national-conference2020-08-06T23:22Znever https://www.findknowdo.com/news/02/04/2011/remarks-chairman-gary-gensler-american-bar-association-committee-derivatives-and-futures-law2020-12-15T05:50Znever https://www.findknowdo.com/news/03/22/2011/remarks-chairman-gary-gensler-otc-derivatives-reform-european-parliament-economic-and-monetary-affairs-committee-brussels-belgium2020-12-15T06:07Znever https://www.findknowdo.com/news/04/27/2011/remarks-commissioner-jill-sommers-electric-utility-consultants-inc.-conference-impact-dodd-frank-energy-markets-washington-dc2020-12-15T06:37Znever https://www.findknowdo.com/news/05/06/2011/remarks-commissioner-scott-d.-omalia-federal-reserve-board-chicago2021-06-11T18:39Znever https://www.findknowdo.com/news/05/11/2011/remarks-commissioner-scott-d.-omalia-reval-annual-client-conference2020-12-15T06:57Znever https://www.findknowdo.com/news/05/16/2013/remarks-cftc-commissioners-regard-sef-trade-execution-rules-and-anti-disruptive-trading-practices-guidance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2012/remarks-iri-2012-government-legal-regulatory-conference-sec-associate-director-division-investment-management-susan-nash2021-01-24T01:56Znever https://www.findknowdo.com/news/01/18/2011/remarks-financial-stability-oversight-council2020-12-15T05:12Znever https://www.findknowdo.com/news/01/14/2011/remarks-implementing-dodd-frank-act2020-12-15T03:17Znever https://www.findknowdo.com/news/03/16/2011/remarks-implementing-dodd-frank-act-fias-annual-international-futures-industry-conference2020-12-15T03:34Znever https://www.findknowdo.com/news/05/11/2011/remarks-chairman-gary-gensler-bringing-oversight-swaps-market-international-finance-corporations-13th-annual-global-private-equity-conference2020-12-15T03:51Znever https://www.findknowdo.com/news/10/09/2012/reminder-upcoming-changes-msrb-transaction-reporting-requirements2020-12-15T06:56Znever https://www.findknowdo.com/news/12/23/2010/reminder-interpretation-dealer-controlled-political-action-committees-under-rule-g-372021-02-01T19:47Znever https://www.findknowdo.com/news/05/06/2011/reopening-and-extension-comment-periods-rulemakings-implementing-dodd-frank-wall-street-reform-and-consumer-protection-act2020-12-15T04:33Znever https://www.findknowdo.com/news/10/01/2012/rep.-frank-and-industry-trade-associations-request-action-fx-swaps-exemption-%28-lofchie-comment%292022-07-08T17:17Znever https://www.findknowdo.com/news/01/22/2013/rep.-markey-letter-sec-high-frequency-trading-%28-lofchie-comment%292020-12-03T01:33Znever https://www.findknowdo.com/news/06/13/2014/rep.-waters-writes-letter-cftc-urging-investigation-u.s.-banks-overseas-moves-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/29/2013/report-hong-kong-securities-and-futures-commission-shows-fast-growth-hedge-fund-industry2021-01-24T05:23Znever https://www.findknowdo.com/news/04/02/2012/report-implementation-sec-organizational-reform-recommendations-%28dodd-frank-study%292020-08-24T19:59Znever https://www.findknowdo.com/news/03/31/2012/report-thematic-review-anti-bribery-and-corruption-systems-and-controls-investment-banks2020-08-06T23:22Znever https://www.findknowdo.com/news/07/17/2014/report-shows-hedge-fund-managers-responses-complying-aifmd2021-01-24T05:24Znever https://www.findknowdo.com/news/07/19/2012/report-congress-study-contingent-capital-requirement-certain-nonbank-financial-companies-and-bank-holding-companies-fsoc-%28dodd-frank-study%292020-12-15T05:59Znever https://www.findknowdo.com/news/06/18/2012/report-congress-actions-taken-response-gaos-report-entitled-national-credit-union-administration-earlier-actions-are-needed-better-address-troubled-credit-unions-%28df-study%292022-08-30T19:06Znever https://www.findknowdo.com/news/04/16/2013/report-g-20-meeting-finance-ministers-and-central-bank-governors-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/06/27/2011/report-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories2020-12-15T06:59Znever https://www.findknowdo.com/news/01/19/2011/reporting-and-dissemination-security-based-swap-information2020-12-14T08:10Znever https://www.findknowdo.com/news/02/14/2011/reporting-investment-advisers-private-funds-and-certain-commodity-pool-operators-and-commodity-trading-advisors-form-pf2021-01-24T05:18Znever https://www.findknowdo.com/news/11/16/2011/reporting-investment-advisers-private-funds-and-certain-commodity-pool-operators-and-commodity-trading-advisors-form-pf-%28final-rule%292021-01-24T05:17Znever https://www.findknowdo.com/news/07/29/2014/representative-garrett-holds-house-equity-market-structure-roundtable-%28-delta-strategy-group-summary%292020-12-03T11:45Znever https://www.findknowdo.com/news/05/06/2014/representative-garrett-questions-sifi-designation-authority-granted-fsoc-dodd-frank-%28-lofchie-comment%292020-12-15T03:25Znever https://www.findknowdo.com/news/08/04/2014/representative-maloney-recommends-changes-fsoc-designation-process-%28-lofchie-comment%292021-09-21T22:55Znever https://www.findknowdo.com/news/10/09/2014/representatives-garrett-and-mchenry-submit-letter-frb-regarding-reverse-repo-facility2026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/21/2015/republicans-criticize-dodd-frank-fifth-anniversary-act2020-08-24T18:15Znever https://www.findknowdo.com/news/07/21/2015/republicans-introduce-bill-abolish-consumer-financial-protection-bureau-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/01/04/2011/republicans-may-starve-financial-reform-cash2020-12-15T05:12Znever https://www.findknowdo.com/news/12/27/2010/republicans-target-regulatory-overhaul2020-12-15T05:41Znever https://www.findknowdo.com/news/02/02/2011/republicans-would-remedy-unwanted-dodd-frank-effects2020-12-15T05:51Znever https://www.findknowdo.com/news/07/05/2012/request-comment-draft-amendment-limit-dealer-consents-changes-authorizing-documents-municipal-securities-%28msrb-notice%292020-12-15T06:28Znever https://www.findknowdo.com/news/02/24/2011/request-comment-gifts-and-gratuities-rule-municipal-advisors2020-12-15T05:42Znever https://www.findknowdo.com/news/02/28/2011/request-comment-rule-g-43-brokers-brokers2020-12-15T06:57Znever https://www.findknowdo.com/news/04/07/2011/request-cpo-registration-relief-affiliated-general-partners-several-commodity-pools2020-12-15T04:30Znever https://www.findknowdo.com/news/02/09/2011/request-exemptive-relief-rule-201-regulation-sho-single-priced-opening-reopening-and-closing-transactions2020-08-06T23:22Znever https://www.findknowdo.com/news/12/06/2011/request-no-action-relief-regard-reporting-swap-position-data-ngx-clearing-members-pursuant-commission-regulations-20.4-and-20.5%28%29-%28interpretive-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/03/25/2011/request-proposals-commodity-otc-derivatives-trade-reporting-repository2021-06-11T19:16Znever https://www.findknowdo.com/news/06/26/2012/request-public-roundtable-data-reporting-issues-%28mfa-letter%292020-12-15T03:19Znever https://www.findknowdo.com/news/05/30/2013/request-production-e-mail-cftc-chairman-gensler-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/26/2013/requests-independent-system-operators-and-regional-transmission-organizations-no-action-relief2020-08-24T19:43Znever https://www.findknowdo.com/news/01/18/2012/res-industry-self-regulatory-organizations-form-joint-committee-address-customer-segregation-issues-%28press-release%292020-12-15T05:13Znever https://www.findknowdo.com/news/01/05/2012/respondent-commodity-futures-trading-commissions-motion-dismiss-lack-subject-matter-jurisdiction-%28briefs%292020-08-24T20:06Znever https://www.findknowdo.com/news/01/14/2011/response-stephen-hester-rbs-chairman-treasury-committee-re-fsa-investigation-rbs2020-08-24T19:59Znever https://www.findknowdo.com/news/10/24/2013/results-cftcs-division-enforcement-82-enforcement-actions-and-1.7-billion-fines-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2011/retail-foreign-exchange-transactions2024-01-29T03:21Znever https://www.findknowdo.com/news/09/13/2011/retail-foreign-exchange-transactions-conforming-changes-existing-regulations-response-dodd-frank-wall-street-reform-and-consumer-protection-act-%28final-rule%292024-01-29T03:21Znever https://www.findknowdo.com/news/10/12/2012/retail-foreign-exchange-transactions-proposed-rule-%28occ-fed.-reg.-version%292024-01-29T03:20Znever https://www.findknowdo.com/news/09/12/2011/retrospective-review-existing-regulations-%28press-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/06/28/2012/reverse-mortgages-cfpb-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/08/16/2012/reverse-repo-counterparties-documents-and-forms2021-06-15T19:42Znever https://www.findknowdo.com/news/04/07/2011/review-uks-regulatory-framework-covered-bonds2020-08-06T23:22Znever https://www.findknowdo.com/news/09/19/2013/revised-estimated-timeline-implementation-various-cftc-rules-%28prepared-delta-strategy-group%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/27/2012/revised-block-trade-faqs2020-12-03T02:26Znever https://www.findknowdo.com/news/03/23/2011/revised-credit-derivatives-determinations-committees-rules-public-comment2021-06-11T17:24Znever https://www.findknowdo.com/news/04/15/2011/revised-discovery-guide-and-document-production-lists-customer-arbitration-proceedings2020-08-06T23:22Znever https://www.findknowdo.com/news/05/22/2014/revised-estimated-timeline-implementation-various-cftc-rules-%28prepared-delta-strategy-group%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2011/revised-interagency-examination-procedures-regulation-z2021-06-11T20:17Znever https://www.findknowdo.com/news/11/14/2012/revised-standard-form-forward-transaction-agreement-and-related-sifma-statement-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/20/2010/revising-remuneration-code2020-08-24T19:59Znever https://www.findknowdo.com/news/03/18/2013/richard-berner-director-treasurys-ofr-testifies-accomplishments-ofr-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/07/06/2011/risk-management-controls-brokers-or-dealers-market-access-extension-compliance-dates2020-12-15T04:27Znever https://www.findknowdo.com/news/01/21/2011/risk-management-requirements-derivatives-clearing-organizations2024-01-31T02:37Znever https://www.findknowdo.com/news/03/24/2011/risk-management-requirements-derivatives-clearing-organizations-correction2024-01-31T02:37Znever https://www.findknowdo.com/news/06/08/2012/risk-based-capital-guidelines-market-risk-%28final-rule%292021-06-15T20:00Znever https://www.findknowdo.com/news/06/19/2012/risk-based-capital-rules-final-rule-risk-based-capital-standards-market-risk-%28fdic-financial-institution-letter%292020-12-15T05:51Znever https://www.findknowdo.com/news/06/03/2013/robert-e.-rice-named-chief-counsel-sec-chairman-white2020-08-06T23:22Znever https://www.findknowdo.com/news/04/17/2014/robert-pickel-step-down-ceo-isda-%28-stromfeld-comment%292020-08-06T23:22Znever https://www.findknowdo.com/news/08/24/2011/rule-change-clarify-scope-operations-professional-rule-requirements-%28adopting-release%29-76-fr-520402020-12-15T03:04Znever https://www.findknowdo.com/news/03/28/2011/rule-change-delete-nyse-rule-346-and-adopt-nyse-rule-32702020-12-15T03:59Znever https://www.findknowdo.com/news/12/05/2012/rules-which-clearing-agencies-submit-clearing-plans-swaps-sec-%28sec-pre-fed.-reg.-version%292020-12-15T03:36Znever https://www.findknowdo.com/news/01/08/2013/rules-practice-amendments-delegations-authority-office-general-counsel-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/03/2015/sp-reaches-settlement-doj-%28-lofchie-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/01/21/2015/sp-settles-charges-sec-regarding-fraudulent-misconduct-cmbs-ratings-%28-gambro-comment%292020-08-06T23:22Znever https://www.findknowdo.com/news/01/26/2011/s..f.e.-act-mortgage-loan-originator-registration2020-12-03T00:48Znever https://www.findknowdo.com/news/07/24/2013/sac-lawyers-responds-sec-charges2020-12-15T06:56Znever https://www.findknowdo.com/news/02/24/2011/sacks-v.-sec-%289th-cir.-feb.-22-2011%292020-08-06T23:22Znever https://www.findknowdo.com/news/10/03/2012/sample-letter-explaining-transition-edgar-submission-and-filing-draft-registration-statements2021-01-05T17:55Znever https://www.findknowdo.com/news/11/20/2012/sanction-violating-corn-futures-speculative-position-limits-and-failing-supervise-traders2020-08-24T19:46Znever https://www.findknowdo.com/news/07/29/2014/sanction-update-%28-turza-comment%292021-06-11T19:35Znever https://www.findknowdo.com/news/07/26/2012/sanctions-imposed-against-peter-madoff-%28sec-release%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/30/2014/sanctions-summary-july-30-%28-turza-comment%292020-08-06T23:22Znever https://www.findknowdo.com/news/07/31/2014/sanctions-summary-july-31-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/08/08/2014/sanctions-summary-week-august-42021-06-28T17:03Znever https://www.findknowdo.com/news/07/25/2014/sanctions-summary-week-july-21-%28-turza-comment%292021-07-06T13:50Znever https://www.findknowdo.com/news/07/14/2014/sanctions-summary-week-july-7-%28-turza-comment%292021-06-28T15:50Znever https://www.findknowdo.com/news/12/19/2014/sanctions-update2021-06-28T15:40Znever https://www.findknowdo.com/news/05/23/2014/sanctions-update-%28-turza-comment%292026-06-20T13:48Zmonthly https://www.findknowdo.com/news/08/13/2014/sanctions-update-august-13-2014-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/09/02/2014/sanctions-update-september-2-2014-%28-turza-comment%292021-06-28T16:38Znever https://www.findknowdo.com/news/05/16/2014/sanctions-update-week-may-12-2014-%28-turza-comment%292021-07-06T13:52Znever https://www.findknowdo.com/news/11/19/2014/sanctions-update-bank-tokyo-mitsubishi-penalized-and-ofac-faq-addresses-russian-shale-oil-production2026-04-15T21:04Zyearly https://www.findknowdo.com/news/06/30/2014/sanctions-update-bnp-paribas-pleads-guilty2021-06-17T16:51Znever https://www.findknowdo.com/news/05/02/2014/sanctions-update-ukraine-and-beyond-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/12/21/2012/schedule-bank-stress-tests-required-dodd-frank-act-section-165%28i%292021-06-11T17:38Znever https://www.findknowdo.com/news/07/23/2014/scott-omalia-appointed-ceo-isda2020-08-24T19:23Znever https://www.findknowdo.com/news/12/06/2012/sdny-finds-direct-payments-shareholders-lbo-are-safe-harbored-under-section-546%28e%29-bankruptcy-code-%28-mintz-comment%292021-06-11T18:25Znever https://www.findknowdo.com/news/03/23/2013/sec-issues-faq-rule-15a-6-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/04/2012/sec-no-action-letter-finra-concerning-definition-ready-market-foreign-equity-securities-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/28/2013/sec-enforcement-commissioner-speaks-enforcement-program-developments-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/23/2012/sec-transcript-third-meeting-advisory-committee-small-and-emerging-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/05/2013/sec-2013-chief-foia-officer-report2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/03/2012/sec-acting-chief-accountant-beswick-and-sec-commissioner-aquilars-speeches-pcaob-developments-and-ifrs2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/14/2015/sec-acting-director-ocie-discusses-examination-priorities-private-equity-funds-%28-mehta-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/17/2013/sec-acting-director-ramsay-secs-middle-ground-cross-border-regulation-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/01/2012/sec-administration-action-no-dodd-frank-retroactivity2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/05/2012/sec-administrative-action-against-accountant2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/05/2012/sec-administrative-action-compliance-failures.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/01/2012/sec-administrative-action-redcell-power-corp.-et-al.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/05/2014/sec-administrative-law-judges-ban-china-based-affiliates-major-accounting-firms-raises-challenging-conflicts-law-issues-%28-link-article-brad-bondi-and-chris-jones%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/01/2012/sec-administrative-proceeding-revocations-registered-securities-alternative-energy-sources-inc.-et-al.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2012/sec-administrative-proceeding-stephen-mazuchowski-%28re-sea-sections-15%28b%29-and-21c-ica-section-9%28c%29%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/26/2013/sec-adoption-revisions-edgar-filer-manual-and-related-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/17/2013/sec-adoption-updated-edgar-filer-manual-%28final-rule-pre-fed.-reg.-version%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/05/2014/sec-adopts-additions-edgar-filer-manual2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/27/2014/sec-adopts-credit-rating-agency-reform-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/25/2014/sec-adopts-cross-border-security-based-swap-rules-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/16/2013/sec-adopts-final-rule-retail-foreign-exchange-transactions-%28fed.-reg.-version%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/11/2013/sec-adopts-final-rule-retail-foreign-exchange-transactions2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/23/2012/sec-adopts-final-rule-disclosure-payments-resource-extraction-issuers-%28sec-pre-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/27/2011/sec-adopts-large-trader-reporting-regime2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/23/2014/sec-adopts-money-market-fund-reform-rules-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/28/2012/sec-adopts-new-procedures-reviewing-clearing-submissions-under-dodd-frank-act-%28sec-press-release-final-rule%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/15/2015/sec-adopts-proposed-rules-under-freedom-information-act-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/25/2015/sec-adopts-regulation-a-%28-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/19/2014/sec-adopts-regulation-sci-%28-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/24/2014/sec-adopts-revisions-final-rule-asset-backed-securities-disclosure-and-registration-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/18/2012/sec-adopts-rule-defining-swaps-related-terms-regulating-derivatives2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/22/2012/sec-adopts-rule-requiring-disclosing-use-conflict-minerals2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/21/2012/sec-adopts-rule-requiring-listing-standards-compensation-committees-and-compensation-advisers-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/14/2015/sec-adopts-rules-increase-transparency-security-based-swaps-market-%28-lofchie-comment-and-youtube-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/26/2011/sec-adopts-short-form-criteria-replace-credit-ratings2026-04-15T20:45Zyearly https://www.findknowdo.com/news/11/02/2012/sec-adopts-standards-risk-management-and-operations-clearing-agencies-%28final-rule-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/23/2012/sec-adopts-standards-risk-management-and-operations-clearing-agencies-%28final-rule-pre-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/29/2015/sec-adopts-updated-edgar-filer-manual-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/15/2012/sec-advance-notice-revise-method-determining-minimum-clearing-fund-size2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-advisers-act-litigation-release-everlyn-litwok2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/17/2012/sec-advisory-committee-small-and-emerging-companies-meeting2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/30/2015/sec-advisory-committee-small-and-emerging-companies-hold-conference-call-meeting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/28/2013/sec-advisory-committee-releases-recommendations-small-businesses2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/28/2013/sec-agenda-meeting-small-and-emerging-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2013/sec-amends-capital-and-custody-rules-broker-dealers-%28-lofchie-coment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/09/2011/sec-amicus-brief-salameh-v.-tarsadia-hotel-%289th-cir.%292026-04-15T20:45Zyearly https://www.findknowdo.com/news/06/01/2015/sec-and-cfpb-issue-investor-bulletin-regarding-planning-diminished-capacity-and-illness2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/03/2014/sec-and-cftc-make-available-semiannual-regulatory-agendas2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/03/2011/sec-and-cftc-propose-product-definitions-swaps2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/21/2014/sec-and-fdic-announce-settlement-mortgage-case2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/27/2015/sec-and-fincen-charge-broker-dealer-separately-securities-law-and-bsa-violations-relating-improper-penny-stock-sales2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/08/2015/sec-and-finra-announce-national-compliance-outreach-program-broker-dealers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/18/2014/sec-and-finra-announce-regional-compliance-outreach-programs-broker-dealers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2015/sec-and-finra-issue-cybersecurity-publications-%28-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/09/2013/sec-and-finra-issue-investor-alert-pension-or-settlement-income-streams-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/11/2015/sec-and-finra-issue-investor-alert-regarding-automated-investment-tools2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/15/2015/sec-and-finra-issue-report-national-senior-investor-initiative-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/30/2014/sec-and-finra-issue-warnings-investors-regarding-dormant-shell-companies-scams2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/12/2013/sec-and-finra-warn-investors-about-pump-and-dump-stock-spam2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/14/2012/sec-and-justice-department-release-resource-guide-u.s.-foreign-corrupt-practices-act-%28fcpa%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/14/2014/sec-and-sba-announce-event-small-business-capital-raising-prior-small-business-forum2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/16/2014/sec-and-sba-announce-partnership-regarding-events-small-business-capital-raising-under-jobs-act2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/05/2014/sec-and-sifma-submit-statements-fy-2015-budget-proposal2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/22/2013/sec-announces-2013-examination-priorities-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/04/2014/sec-announces-additional-150000-payment-recipient-first-whistleblower-award2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/29/2013/sec-announces-advisory-committee-jobs-act-meet-may-12026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/08/2015/sec-announces-advisory-committee-small-and-emerging-companies-hold-conference-call-meeting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/24/2014/sec-announces-agenda-and-panelists-cybersecurity-roundtable2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/12/2015/sec-announces-agenda-and-panelists-proxy-voting-roundtable2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/27/2013/sec-announces-agenda-and-panelists-roundtable-proxy-advisory-services2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/07/2012/sec-announces-agenda-and-panelists-small-business-forum2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/10/2013/sec-announces-agenda-advisory-committee-meeting-small-and-emerging-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/28/2015/sec-announces-agenda-advisory-committee-small-and-emerging-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/03/2013/sec-announces-agenda-april-11th-investor-advisory-committee-meeting-target-date-mutual-funds2023-04-25T22:43Znever https://www.findknowdo.com/news/04/23/2013/sec-announces-agenda-credit-ratings-roundtable-asset-backed-securities2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/29/2013/sec-announces-agenda-fixed-income-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/30/2012/sec-announces-agenda-market-technology-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/23/2013/sec-announces-agenda-may-1-meeting-advisory-committee-small-and-emerging-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/11/2014/sec-announces-agenda-meeting-advisory-committee-small-and-emerging-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/21/2012/sec-announces-agenda-roundtable-decimalization2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/17/2015/sec-announces-agenda-upcoming-equity-market-structure-advisory-committee-meeting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/25/2015/sec-announces-asset-freeze-against-alleged-eb-5-fraudster-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/31/2014/sec-announces-award-whistleblower-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/06/2014/sec-announces-charges-against-broker-dealer-market-access-violations-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/19/2014/sec-announces-charges-against-four-former-clearing-firm-officials-reg.-sho-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/26/2013/sec-announces-charges-against-investment-advisory-firms-engaging-undisclosed-principal-transactions-and-violating-custody-rule2022-01-02T16:57Znever https://www.findknowdo.com/news/06/18/2014/sec-announces-cicely-lamothe-be-associate-director-division-corporation-finance2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/16/2013/sec-announces-compliance-outreach-program-regional-seminars2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/30/2015/sec-announces-compliance-outreach-program-seminars-investment-adviser-and-investment-company-senior-officers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/17/2015/sec-announces-consent-judgment-against-it-professional-insider-trading-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/11/2014/sec-announces-creation-new-office-within-division-economic-and-risk-analysis2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/14/2014/sec-announces-cybersecurity-roundtable2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/03/2013/sec-announces-date-annual-government-business-forum-small-business-capital-formation2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/19/2012/sec-announces-deferred-prosecution-agreement-amish-fund2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/02/2014/sec-announces-departure-chief-economist-and-division-economic-and-risk-analysis-director2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/20/2015/sec-announces-departure-fort-worth-regional-director2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/29/2015/sec-announces-departure-sec-chairs-chief-counsel2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/02/2013/sec-announces-departure-senior-enforcement-official-david-p.-bergers-after-13-years-federal-service2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/17/2015/sec-announces-enforcement-action-regarding-illegal-offering-security-based-swaps-issues-investor-alert2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/10/2014/sec-announces-enforcement-cooperation-initiative-municipal-issuers-and-underwriters-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/02/2013/sec-announces-enforcement-initiatives-combat-financial-reporting-and-microcap-fraud-and-enhance-risk-analysis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/17/2013/sec-announces-enforcement-results-fy-20132026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/26/2013/sec-announces-fee-rate-advisory-3-fiscal-year-20132026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/06/2011/sec-announces-filing-limit-limit-down-proposal-address-extraordinary-market-volatility2026-04-15T20:45Zyearly https://www.findknowdo.com/news/11/12/2013/sec-announces-first-deferred-prosecution-agreement-individual-%28-kuczajda-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/21/2013/sec-announces-former-rochdale-securities-broker-sentenced-30-months-imprisonment-rogue-trades2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/18/2013/sec-announces-fraud-charges-against-collateral-manager-cdo2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/30/2015/sec-announces-fraud-charges-against-investment-adviser-accused-concealing-poor-performance-fund-assets2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/04/2014/sec-announces-fraud-charges-against-two-traders-involved-parking-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/10/2015/sec-announces-half-million-dollar-clawback-software-company-cfos2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/05/2013/sec-announces-insider-trading-charges-against-it-guy-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/23/2015/sec-announces-investor-advisory-committee-meeting-published-federal-register2023-04-25T22:41Znever https://www.findknowdo.com/news/01/09/2014/sec-announces-its-2014-examination-priorities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/12/2015/sec-announces-judgment-against-firm-violating-regulation-m2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/05/2014/sec-announces-largest-monetary-sanction-rule-105-short-selling-violations-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/22/2014/sec-announces-largest-whistleblower-award-%28-bondi-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/19/2014/sec-announces-meeting-its-advisory-committee-small-and-emerging-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/27/2015/sec-announces-meeting-regarding-foreign-security-based-swap-dealers-and-executive-compensation-disclosure2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/19/2014/sec-announces-meeting-consider-adoption-rules-regarding-definitions-cross-border-security-based-swap-activities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/22/2014/sec-announces-new-administrative-law-judge2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/28/2014/sec-announces-new-associate-director-investment-adviser/investment-company-examination-program2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/30/2014/sec-announces-new-associate-director-office-international-affairs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/10/2014/sec-announces-new-associate-director-examination-program-los-angeles-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/21/2014/sec-announces-new-chief-economist-and-director-economic-and-risk-analysis-division2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/12/2015/sec-announces-new-chief-information-officer2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/28/2015/sec-announces-new-chief-staff2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/29/2014/sec-announces-new-deputy-director-enforcement2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/20/2015/sec-announces-new-director-and-deputy-director-municipal-securities-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/08/2015/sec-announces-new-director-division-investment-management2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/11/2015/sec-announces-new-division-trading-and-markets-chief-counsel2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/30/2014/sec-announces-new-hires-office-administrative-law-judges2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/19/2014/sec-announces-new-municipal-advisor-exam-initiative2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/17/2015/sec-announces-open-meeting-advisory-committee-small-and-emerging-companies-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/08/2013/sec-announces-open-meeting-jobs-act-and-related-matters2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/05/2015/sec-announces-outreach-programs-help-firms-comply-regulation-sci2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/28/2012/sec-announces-panelists-market-technology-roundtable-october-22026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/31/2013/sec-announces-panelists-roundtable-decimalization2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/09/2013/sec-announces-panelists-roundtable-fixed-income-markets2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/20/2014/sec-announces-personnel-changes-division-trading-and-markets-and-philadelphia-regional-office-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/26/2014/sec-announces-pilot-plan-assess-stock-market-tick-size-impact-smaller-companies-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/30/2014/sec-announces-program-facilitate-analysis-corporate-financial-data2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/26/2015/sec-announces-public-meeting-investor-advisory-committee-%28fed.-reg.%292023-04-25T22:39Znever https://www.findknowdo.com/news/05/22/2015/sec-announces-public-meeting-advisory-committee-small-and-emerging-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/05/2011/sec-announces-securities-law-violations-broker-dealer-involving-mbs2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/13/2015/sec-announces-settlement-insider-trading-case2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/03/2013/sec-announces-suspension-trading-numerous-shell-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/13/2014/sec-announces-designation-a-longer-period-commission-action-regarding-finra-proposed-rule-change-relating-trace-reporting-and-asset-backed-securities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/12/2014/sec-announces-three-new-position-changes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/13/2014/sec-announces-transaction-fee-rates-fiscal-year-20142026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/23/2014/sec-announces-two-new-appointments2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/03/2013/sec-announces-two-promotions-division-economic-and-risk-analysis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/22/2015/sec-announces-whistleblower-award-compliance-officer-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/28/2015/sec-appoints-associate-regional-director-enforcement-san-francisco-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/07/2014/sec-approval-finra-proposed-rule-change-amend-self-trading-rules-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/13/2013/sec-approves-2013-pcaob-budget-and-accounting-support-fee-chairman-walter-and-commissioner-aguilar-remark-providing-resources-pcaob2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/20/2013/sec-approves-2013-pcaob-budget-and-annual-accounting-support-fee-%28sec-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/04/2015/sec-approves-2015-pcaob-budget-and-accounting-support-fee2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/22/2014/sec-approves-additional-trade-reporting-requirements-various-types-asset-backed-securities-%28reg.-notice-14-34%29-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/05/2012/sec-approves-amended-minimum-quotation-sizes-otc-equity-securities-a-pilot-basis-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/23/2015/sec-approves-amendment-nms-cat-plan-allows-revisions-plan-processor-bids2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/02/2014/sec-approves-amendment-plan-reporting-consolidated-options-last-sale-reports-and-quotation-information2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/15/2014/sec-approves-amendments-regarding-nationally-recognized-statistical-rating-organizations-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/31/2014/sec-approves-amendments-add-category-persons-eligible-serve-disciplinary-proceeding-panelists-%28finra-reg.-notice-14-45%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/20/2012/sec-approves-amendments-align-finra-rules-statutes-invalidate-predispute-arbitration-agreements-whistleblower-disputes-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/18/2013/sec-approves-amendments-arbitration-codes-direct-appearance-witnesses-and-production-documents-without-subpoenas2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/25/2012/sec-approves-amendments-arbitration-codes-raise-limit-simplified-arbitration-25000-50000-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/30/2014/sec-approves-amendments-codes-arbitration-procedure-protecting-personal-confidential-information-%28finra-reg.-notice-14-27%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/11/2014/sec-approves-amendments-communication-public-rule-%28finra-reg.-notice-14-30%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/15/2014/sec-approves-amendments-equity-trade-reporting-and-order-audit-trail-system-%28oats%29-rules-%28finra-regulatory-notice-14-21%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/28/2013/sec-approves-amendments-establish-two-optional-trace-data-delivery-services-and-related-fees2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/19/2014/sec-approves-amendments-finra-form-br-%28regulatory-notice-14-11%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/26/2012/sec-approves-amendments-finra-margin-requirements2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/12/2013/sec-approves-amendments-finra-rule-6730%28d%29%282%29-requiring-firms-report-factor-abs-transactions-executed-agency-capacity-%28finra-regulatory-notice-13-15%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/28/2013/sec-approves-amendments-finra-rule-8210-%28provision-information-and-testimony-and-inspection-and-copying-books-and-records%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/30/2013/sec-approves-amendments-finra-rule-83132026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/27/2013/sec-approves-amendments-finra-rule-92172026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/30/2013/sec-approves-amendments-finra-rule-regarding-brokercheck-disclosure2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/20/2012/sec-approves-amendments-finra-trace-rules-and-dissemination-protocols2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/01/2012/sec-approves-amendments-finras-code-procedure2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/04/2014/sec-approves-amendments-msrb-rule-g-3-%28msrb-regulatory-notice-2014-13%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/27/2013/sec-approves-amendments-msrb-rules-g-11-g-8-and-g-322026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/24/2013/sec-approves-amendments-msrb-rules-regarding-disclosure-contributions-ballot-campaigns2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/12/2015/sec-approves-amendments-require-firms-identify-transactions-nonmember-affiliates-trace-trade-reports-%28finra-reg.-notice-15-14%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/24/2013/sec-approves-amendments-require-firms-report-otc-transactions-equity-securities-soon-practicable-no-later-10-seconds-following-execution2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/08/2012/sec-approves-amendments-rule-13204-industry-code-preclude-collective-action-claims-being-arbitrated-under-code-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/26/2012/sec-approves-amendments-streamline-new-issue-information-submission-requirements-under-msrb-rules-g-32-and-g-342026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/03/2011/sec-approves-amendments-trace-relating-asset-backed-securities2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/22/2012/sec-approves-amendments-trace-reporting-requirements-and-dissemination-agency-pass-through-mortgage-backed-securities-traded-be-announced-and-related-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2014/sec-approves-bats-exchange-supplemental-competitive-liquidity-provider-program-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/07/2012/sec-approves-bats-retail-liquidity-improvement-program-%28-glen-barrentine-explanation%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/10/2015/sec-approves-bats-launch-second-options-market2026-04-15T20:41Zyearly https://www.findknowdo.com/news/03/02/2012/sec-approves-consolidated-finra-best-execution-rule2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/05/2011/sec-approves-consolidated-finra-rule-governing-fidelity-bonds2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/03/2011/sec-approves-consolidated-finra-rule-governing-reporting-requirements2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/03/2014/sec-approves-consolidated-finra-rules-governing-securities-lending/borrowing-customer-segregation-and-callable-securities-finra-regulatory-notice-14-05-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/28/2011/sec-approves-consolidated-finra-rules-governing-books-and-records2026-04-15T20:45Zyearly https://www.findknowdo.com/news/01/11/2011/sec-approves-consolidated-finra-rules-governing-know-your-customer-and-suitability-obligations2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/03/2012/sec-approves-consolidated-telemarketing-rule-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/03/2012/sec-approves-expanded-sro-front-running-rule-%28finra-reg.-notice%29-%28significant-rule-change%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/16/2014/sec-approves-finra-amendments-corporate-financing-rules-%28finra-regulatory-notice-14-22%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2013/sec-approves-finra-amendments-discovery-guide-used-customer-arbitration-proceedings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/29/2014/sec-approves-finra-proposal-adopt-supplementary-schedule-inventory-positions-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/24/2013/sec-approves-finra-proposal-consolidate-supervision-rules-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/30/2014/sec-approves-finra-rule-2081-regarding-prohibited-conditions-relating-expungement-customer-dispute-information-%28finra-reg.-notice-14-31%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/29/2015/sec-approves-finra-rule-amendment-regarding-fee-increase-late-cancellation-scheduled-hearing-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/19/2013/sec-approves-finra-rule-change-amending-code-arbitration-procedure-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/04/2015/sec-approves-finra-rule-change-regarding-non-public-and-public-arbitrator-definitions-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/12/2015/sec-approves-finra-rule-change-regarding-temporary-and-permanent-cease-and-desist-orders-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/02/20/2014/sec-approves-finra-rule-change-related-a-capacity-management-plan2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/16/2014/sec-approves-finra-rule-change-clarify-how-certain-securities-are-classified-and-reported-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/11/2014/sec-approves-finra-rule-change-clarify-how-certain-securities-are-classified-and-reported-finra2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/08/2013/sec-approves-finra-rule-changes-related-occ-cleared-otc-options-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/30/2014/sec-approves-finra-rule-concerning-self-trades-%28finra-reg.-notice-14-28%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/27/2013/sec-approves-finra-rule-proposals-regarding-securities-loans-and-allocations-securities-calls-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/28/2014/sec-approves-finra-rule-regarding-participation-alternative-display-facility2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/12/2015/sec-approves-finra-rule-regarding-sales-or-offers-sales-securities-military-members-or-dependents-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/23/2014/sec-approves-finra-rule-prohibit-conditioning-settlements-expungement-information-crd2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/23/2014/sec-approves-finra-supplemental-inventory-schedule-%28finra-reg.-notice-14-43%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/31/2014/sec-approves-finras-proposal-adopt-rules-0190-and-2040-and-amend-rule-83112026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/31/2014/sec-approves-finras-proposal-incorporate-nasd-rule-regarding-background-investigations-rulebook-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/27/2014/sec-approves-finra-proposed-amendments-rules-2210-and-22142026-06-20T23:10Zmonthly https://www.findknowdo.com/news/07/02/2014/sec-approves-finra-proposed-amendments-rules-2210-and-2214-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/20/2014/sec-approves-finra-proposed-rule-change-relating-clearly-erroneous-executions2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/05/2015/sec-approves-finra-proposed-rule-change-relating-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28finra-reg.-notice-15-02%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/13/2014/sec-approves-finra-proposed-rule-change-corporate-financing-rule-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/30/2014/sec-approves-finra-proposed-rule-change-establish-fee-schedule-ats-volume-information2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/04/2014/sec-approves-finra-proposed-rule-change-update-rules-governing-adf2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/02/2014/sec-approves-finra-proposed-rule-regarding-self-trades-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/02/2014/sec-approves-finra-proposed-rule-relating-composition-hearing-panels-disciplinary-proceedings-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/03/2014/sec-approves-finra-proposed-rule-amend-codes-arbitration-procedures-and-increase-certain-arbitration-fees-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/04/2014/sec-approves-finra-proposed-rule-establish-a-fee-schedule-ats-volume-information-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/28/2014/sec-approves-finra-proposed-rule-prohibit-conditioning-settlements-expungement-information-crd-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/14/2012/sec-approves-further-regulatory-relief-and-assistance-hurricane-sandy-victims2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/27/2012/sec-approves-increase-taf-rate-sales-covered-equity-securities-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/04/2015/sec-approves-msrb-proposal-create-professional-qualification-standards-municipal-advisors-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/24/2014/sec-approves-msrb-rule-g-45-modified-amendment-no.-12026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/26/2015/sec-approves-msrb-rule-regarding-rtrs-procedures-and-subscription-services2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/27/2014/sec-approves-msrb-rule-consolidate-registration-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/08/2014/sec-approves-msrbs-best-execution-rule-%28msrb-regulatory-notice-2014-22%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/12/2014/sec-approves-msrbs-proposal-consolidate-fair-dealing-obligations-municipal-advisers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/07/2014/sec-approves-msrb-proposed-amendments-rule-g-3-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/14/2014/sec-approves-msrb-proposed-rule-change-regarding-prices-and-commissions-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/23/2015/sec-approves-nasdaq-rule-5713-sec-commissioner-stein-dissents-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/19/2013/sec-approves-nasdaqs-retail-liquidity-improvement-program2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/28/2012/sec-approves-new-finra-rule-4524-requiring-filing-supplemental-focus-information-and-a-supplementary-schedule-statement-income-%28loss%29-page-focus-report2026-04-15T20:45Zyearly https://www.findknowdo.com/news/09/05/2012/sec-approves-new-finra-rule-5123-regarding-private-placements-securities-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/12/2012/sec-approves-new-rule-requiring-consolidated-audit-trail-monitor-and-analyze-trading-activity-%28sec-press-release-fact-sheer-and-open-meeting-video%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/15/2012/sec-approves-new-rules-governing-communications-public-%28finra-regulatory-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/20/2011/sec-approves-new-rules-regulating-asset-backed-securities2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/06/2015/sec-approves-nyses-proposal-make-nmm-and-slp-pilots-permanent-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/29/2014/sec-approves-msrb-rules-regarding-supervisory-and-compliance-obligations-and-recordkeeping-requirements-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/06/2014/sec-approves-pcaob-2014-budget2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/06/2015/sec-approves-pilot-program-assess-tick-size-impact-smaller-companies-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/01/2012/sec-approves-proposals-address-extraordinary-volatility-individual-stocks-and-broader-stock-market2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/29/2014/sec-approves-proposed-amendments-finra-corporate-financing-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/24/2014/sec-approves-proposed-joint-nms-plan-regarding-consolidated-audit-trail-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/25/2014/sec-approves-proposed-plan-allocation-regulation-responsibilities-between-finra-and-miax-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/23/2015/sec-approves-revised-research-rules-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/01/10/2014/sec-approves-rule-amendment-relating-close-out-options-a-broker-dealer-liquidation2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/10/2013/sec-approves-rule-change-regarding-msrb-rule-g-11-regarding-primary-offering-practices2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/14/2012/sec-approves-rule-establish-accounting-support-fee-fund-governmental-accounting-standards-board2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/11/2012/sec-approves-rules-and-interpretations-key-terms-regulating-derivatives-%28press-release-and-qa%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/04/2013/sec-approves-supplemental-schedule-derivatives-and-other-balance-sheet-items2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/14/2014/sec-approves-various-finra-amendments-arbitration-procedure-%28finra-reg.-notice-14-49%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/06/2015/sec-approves-web-based-delivery-method-completion-regulatory-element-ce-requirements2026-04-15T20:41Zyearly https://www.findknowdo.com/news/04/16/2014/sec-associate-director-berman-delivers-speech-about-complexity-and-speed-markets-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/23/2014/sec-associate-director-regulatory-policy-division-corporation-finance-retires2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/19/2013/sec-associate-director-gregg-e.-berman-delivers-speech-transformational-technologies-market-structure-and-sec2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/10/2013/sec-associate-director-enforcement-emphasizes-good-compliance-programs-and-whistleblowers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2011/sec-odds-cftc-swap-trade-rules2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/01/2013/sec-awards-over-14-million-whistleblower2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/03/2014/sec-awards-two-whistleblowers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/28/2015/sec-awards-whistleblower-first-retaliation-case-%28-lofchie-comment-and-video-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/21/2012/sec-bans-arizona-based-investment-adviser-securities-industry-fraudulent-actions-mutual-fund-collapse2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/12/2011/sec-brief-sec-v.-kramer-no.-11-12510-dd-%2811th-cir.%29-%28brief%292026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/03/2011/sec-brings-expert-network-insider-trading-charges2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/18/2012/sec-capital-and-margin-rules-swap-dealers-and-msps-%28-very-small-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/08/2013/sec-cautions-exchanges-and-investment-professionals-monitor-composition-indices-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/21/2013/sec-cf-staff-review-common-financial-reporting-issues-facing-small-issuers-%28-de-brito-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/20/2015/sec-chair-and-commissioners-discuss-sec-priorities-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/15/2013/sec-chair-delivers-lecture-importance-trials-law-and-public-accountability2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/19/2013/sec-chair-mary-jo-white-speaks-highly-jobs-act-and-discusses-its-benefits-hedge-fund-industry2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/25/2013/sec-chair-mary-jo-whites-congressional-testimony-2014-sec-budget-request2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/26/2015/sec-chair-meets-european-union-financial-services-commissioner2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/16/2014/sec-chair-white-advocates-corporate-boardroom-diversity-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/17/2014/sec-chair-white-and-commissioner-gallagher-discuss-technology-failures-and-self-regulatory-organizations-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/20/2014/sec-chair-white-announces-new-strategy-fight-fraud2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/15/2013/sec-chair-white-delivers-speech-disclosure-requirements-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/02/2013/sec-chair-white-delivers-speech-equity-market-structure-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/18/2013/sec-chair-white-delivers-speech-hedge-fund-transparency2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/09/2013/sec-chair-white-delivers-speech-promoting-secs-enforcement-program-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/22/2013/sec-chair-white-delivers-speech-regarding-importance-compliance2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/20/2015/sec-chair-white-directs-staff-review-rule-excluding-conflicting-proxy-proposals2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/21/2014/sec-chair-white-discusses-accounting-standards-fasb-trustees-dinner2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/25/2015/sec-chair-white-discusses-building-meaningful-communication-and-engagement-shareholders-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/24/2014/sec-chair-white-discusses-director-responsibilities-and-defends-whistleblower-program2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/12/2015/sec-chair-white-discusses-disqualifications-exemptions-and-waivers-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/20/2014/sec-chair-white-discusses-intermediation-securities-market-focuses-debt-markets-particularly-munis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/26/2015/sec-chair-white-discusses-international-cooperation-a-data-driven-world2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/24/2014/sec-chair-white-discusses-international-enforcement-cooperation-global-markets2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/11/2014/sec-chair-white-discusses-risk-and-regulation-asset-management-industry-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/19/2015/sec-chair-white-discusses-shareholder-voting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/01/2015/sec-chair-white-discusses-secs-whistleblower-program-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/05/2014/sec-chair-white-discusses-upcoming-initiatives-enhance-equity-market-structure-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/27/2014/sec-chair-white-establishes-2014-sec-priorities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/21/2014/sec-chair-white-gives-state-sec-address-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/01/2014/sec-chair-white-highlights-high-frequency-trading-2015-budget-request-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/14/2015/sec-chair-white-outlines-enforcement-priorities-says-sec-isnt-chasing-ccos2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/17/2014/sec-chair-white-reflects-dodd-frank-act2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/06/2013/sec-chair-white-speaks-annual-practicing-law-institute-about-less-publicized-parts-sec2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/21/2014/sec-chair-white-speaks-protection-retail-investors2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/01/2014/sec-chair-white-speaks-use-civil-and-criminal-actions-police-markets-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/16/2015/sec-chair-white-stresses-lasting-reform-dodd-franks-fifth-anniversary2026-04-15T20:41Zyearly https://www.findknowdo.com/news/04/09/2015/sec-chair-white-talks-about-future-rulemaking-investor-advisory-committee-meeting-%28-lofchie-comment%292023-04-25T22:40Znever https://www.findknowdo.com/news/03/24/2015/sec-chair-white-testifies-house-financial-services-committee-%28-delta-strategy-group-summary%292020-12-03T01:33Znever https://www.findknowdo.com/news/04/29/2014/sec-chair-white-conflict-minerals-rule-will-not-be-delayed-%28-woody-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/11/2013/sec-chairman-elisse-walter-delivers-opening-remarks-foreign-bribery-and-corruption-training-conference-%28-lofchie-comment-and-music-selection%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/03/2013/sec-chairman-mary-jo-white-delivers-speech-regulation-a-global-financial-system-%28-lofchie-comments%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/30/2013/sec-chairman-mary-jo-white-remarks-sec-finra-joint-news-conference-national-financial-capability-study2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/26/2012/sec-chairman-mary-schapiro-step-down-commissioner-elisse-walter-become-chairman-%28-lofchie-comment-and-links-a-few-walters-speeches-and-related-news-stories%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/03/2012/sec-chairman-mary-schapiros-introductory-remarks-secs-market-technology-roundtable-webcasts2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/23/2012/sec-chairman-mary-schapiros-statement-money-market-fund-reform2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/28/2012/sec-chairman-mary-shapiros-testimony-concerning-jobs-act-action-part-ii-overseeing-effective-implementation-jobs-act-sec2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/26/2012/sec-chairman-schapiro-remarks-dodd-frank2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/16/2012/sec-chairman-schapiro-remarks-money-market-funds-fsoc-meeting2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/12/2012/sec-chairman-schapiros-speech-enforcement2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/14/2013/sec-chairman-walter-delivers-speech-senate-banking-committee-%28-lofche-comment%292020-12-15T06:48Znever https://www.findknowdo.com/news/03/07/2013/sec-chairman-walter-discusses-new-proposed-rules2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/20/2013/sec-chairman-walter-harnessing-tomorrows-technology-todays-investors-and-markets2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/22/2013/sec-chairman-walter-making-markets-safe-informed-risk-taking-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/25/2013/sec-chairman-walter-speech-global-regulation-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/22/2013/sec-chairman-walters-opening-remarks-investor-advisory-committee-meeting2023-04-25T23:00Znever https://www.findknowdo.com/news/05/16/2013/sec-chairman-white-testimony-oversight-sec2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/07/2013/sec-chairman-white-testimony-sec-budget2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/12/2013/sec-chairperson-mary-jo-white-issues-statement-exchange-leaders-meeting-regarding-technology-market-infrastructure2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/04/2013/sec-chairperson-mary-jo-white-speaks-fordham-law-school-importance-independence-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/26/2013/sec-chairperson-white-delivers-speech-enforcement2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/03/2012/sec-charges-dark-pool-operator-failing-protect-customers-trading-information-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/27/2015/sec-charges-u.s.-brokerage-firm-faulty-underwriting-public-offering-china-based-company2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/21/2013/sec-charges-rengan-rajaratnam-insider-trading2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/13/2012/sec-charges-14-sales-agents-415-million-long-island-based-ponzi-scheme-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/12/2015/sec-charges-32-defendants-scheme-trade-hacked-news-releases2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/10/2014/sec-charges-34-corporate-insiders-failing-file-under-sections-13-and-16-%28-lofchie-comment%292022-08-30T19:08Znever https://www.findknowdo.com/news/07/14/2015/sec-charges-34-individuals-scheme-manipulate-microcap-stock-trading2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/18/2015/sec-charges-36-firms-fraud-sale-municipal-bonds2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/20/2013/sec-charges-adm-fcpa-violations-ukraine2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/19/2012/sec-charges-advisory-firms-and-portfolio-managers-roles-collapse-midwest-based-closed-end-mutual-fund2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/09/2014/sec-charges-aluminum-producer-fcpa-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/11/2014/sec-charges-animal-feed-company-and-top-executives-china-and-u.s.-accounting-fraud-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/21/2013/sec-charges-another-tipper-galleon-insider-trading-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/25/2014/sec-charges-ats-failing-protect-subscriber-data2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/04/2011/sec-charges-axa-rosenberg-entities-concealing-error-quantitative-investment-model-firms-agree-pay-more-240-million-settle-sec-charges2026-04-15T20:45Zyearly https://www.findknowdo.com/news/09/24/2013/sec-charges-bank-and-two-bank-executives-failure-disclose-probable-loss-troubled-loan2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/13/2015/sec-charges-bank-executive-insider-trading2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/26/2012/sec-charges-bank-executives-nebraska-understating-losses-during-financial-crisis-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/11/2014/sec-charges-bank-holding-company-improper-accounting-and-disclosure-past-due-loans2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/06/2013/sec-charges-bank-america-fraud-rmbs-offering2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/04/2013/sec-charges-banking-organization-and-former-cfo-improper-accounting-substantial-loan-losses-during-financial-crisis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2014/sec-charges-bermudian-investment-adviser-and-principal-short-selling-violation-regulation-m-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/14/2014/sec-charges-big-accounting-firm-violating-auditor-independence-rules-lobbying-activities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/03/2014/sec-charges-bitcoin-entrepreneur-offering-unregistered-securities-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/02/2012/sec-charges-bristol-myers-squibb-executive-insider-trading-stock-options-potential-acquisition-targets2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/06/2011/sec-charges-broker-dealer-auction-rate-sales-violations2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/05/2011/sec-charges-broker-dealer-fraudulent-bidding-practices-involving-investment-municipal-bond-proceeds2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/07/2011/sec-charges-broker-dealer-fraudulent-bidding-practices-relating-municipal-bond-proceeds2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/15/2014/sec-charges-broker-dealer-illegally-facilitating-trades-unregistered-firm2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/07/2013/sec-charges-broker-dealer-misleading-investors-subprime-rmbs-offering2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/07/2011/sec-charges-brokerage-executives-failing-protect-confidential-customer-information2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/19/2015/sec-charges-brokerage-firm-and-ceo-committing-fraud-related-cdo-liquidation-auctions2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/08/2014/sec-charges-brokerage-firm-and-founder-violating-net-capital-requirements-and-concealing-deficiencies-examiners-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/26/2013/sec-charges-brokerage-firm-ignoring-red-flags-soft-dollar-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/14/2014/sec-charges-brokerage-firm-overcharging-customers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/04/2015/sec-charges-brokerage-firm-violating-supervisory-and-customer-protection-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/28/2012/sec-charges-business-development-company-and-officers-overvaluing-assets-during-financial-crisis-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/07/2013/sec-charges-california-based-lawyer-issuing-fraudulent-legal-opinion-letters2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/13/2015/sec-charges-canadian-man-conducting-fraudulent-trading-scheme2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/30/2014/sec-charges-ceo-and-former-cfo-hiding-internal-control-deficiencies-and-violating-sarbanes-oxley2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/20/2012/sec-charges-ceo-manouchehr-moshayedi-insider-trading-secondary-offering-company-stock2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/19/2012/sec-charges-ceo-insider-trading-secondary-offering-company-stock2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/03/2012/sec-charges-china-affiliates-u.s.-accounting-firms-failing-produce-audit-documents2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/20/2013/sec-charges-china-based-company-and-ceo-latest-cross-border-working-group-case2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/19/2013/sec-charges-city-miami-and-former-budget-director-municipal-bond-offering-fraud-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/22/2013/sec-charges-city-south-miami-defrauding-investors-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/29/2013/sec-charges-city-victorville-and-others-defrauding-municipal-bond-investors-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-charges-close-friend-staffing-company-ceo-insider-trading-around-acquisition2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/19/2013/sec-charges-cohen-failing-supervise-portfolio-managers-and-prevent-insider-trading-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/04/2012/sec-charges-company-officers-and-penny-stock-promoters-kickback-and-market-manipulation-schemes-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/20/2015/sec-charges-company-violating-fcpa-olympic-games2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/09/2012/sec-charges-company-ceo-and-stock-promoter-market-manipulation-%28sec-notice%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/28/2015/sec-charges-compliance-director-defrauding-investors-and-stealing-brokerage-firm-assets2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/17/2012/sec-charges-connecticut-based-adviser-skin-game-misstatements-about-cdos2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/06/2011/sec-charges-corporate-attorney-and-wall-street-trader-32-million-insider-trading-ring2026-04-15T20:45Zyearly https://www.findknowdo.com/news/12/23/2014/sec-charges-corporate-attorney-and-wife-insider-trading-%28-bondi-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/13/2015/sec-charges-corporate-insiders-failing-update-disclosures-involving-going-private-transactions2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/13/2014/sec-charges-cr-intrinsic-analyst-insider-trading2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/09/2014/sec-charges-current-and-former-etrade-subsidiaries-improperly-selling-penny-stocks-through-unregistered-offerings2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/06/2014/sec-charges-dark-pool-operator-failure-safeguard-confidential-trading-information-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/30/2015/sec-charges-day-trader-manipulating-stock-prices-retain-nasdaq-listing-company2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/01/2015/sec-charges-deloitte-touche-auditor-independence-violations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/26/2012/sec-charges-denver-based-insurance-executive-insider-trading2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/22/2014/sec-charges-dual-registrant-failing-respond-red-flags-insider-trading2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/10/2012/sec-charges-eight-mutual-fund-directors-failure-properly-oversee-asset-valuation2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/12/2015/sec-charges-exchanges-failing-describe-order-types-properly2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/18/2012/sec-charges-family-run-business-promising-investors-stake-purported-11-billion-gold-mine2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/03/2015/sec-charges-father-insider-trading2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/16/2015/sec-charges-financial-advisor-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/03/2014/sec-charges-financial-advisory-firm-improperly-calculating-advisory-fees-and-overcharging-clients2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/18/2012/sec-charges-financial-media-company-and-executives-involved-accounting-fraud2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/15/2015/sec-charges-firm-failures-operating-dark-pool2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/18/2014/sec-charges-firm-fcpa-violations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/29/2015/sec-charges-firm-misallocating-broken-deal-expenses2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/07/2011/sec-charges-firm-misleading-investors-cdos2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/24/2014/sec-charges-firm-misleading-investors-subprime-rmbs-offerings2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/25/2011/sec-charges-firm-misusing-customer-order-information-and-charging-undisclosed-trading-fees2026-04-15T20:45Zyearly https://www.findknowdo.com/news/09/23/2014/sec-charges-firm-systemic-compliance-failures2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/24/2014/sec-charges-firm-violating-auditor-independence-rules-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/30/2015/sec-charges-firm-violating-market-access-rule-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/06/2014/sec-charges-five-executives-and-finance-professionals-connected-law-firm-fraudulent-bond-offering2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/10/2012/sec-charges-five-physicians-insider-trading-stock-medical-professional-liability-insurer-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/02/2014/sec-charges-five-traders-regulation-m-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/30/2012/sec-charges-florida-brokers-defrauding-brazilian-public-pension-funds-markup-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/25/2013/sec-charges-florida-based-financial-adviser-illegally-tipping-inside-information2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/25/2014/sec-charges-foreign-private-banking-unit-providing-unregistered-services-u.s.-clients2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/10/2015/sec-charges-former-accounting-executive-japanese-subsidiary-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/17/2014/sec-charges-former-bp-employee-insider-trading-during-deepwater-horizon-oil-spill-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/10/2015/sec-charges-former-brokerage-ceo-role-fraudulent-scheme2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/23/2010/sec-charges-former-carters-executive-fraud-and-insider-trading2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/07/2014/sec-charges-former-ceo-deceiving-customers-about-trading-fees2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/31/2015/sec-charges-former-ceo-hiding-perks-investors2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/21/2012/sec-charges-former-chairman-board-connection-a-fraudulent-plan-evade-beneficial-ownership-reporting-requirements2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/04/2011/sec-charges-former-financial-adviser-defrauding-life-settlement-fund-investors2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/15/2011/sec-charges-former-hedge-fund-portfolio-manager-insider-trading2026-04-15T20:45Zyearly https://www.findknowdo.com/news/01/28/2011/sec-charges-former-hedge-fund-trader-insider-trading2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/29/2013/sec-charges-former-houston-based-ceo-insider-trading-stocks-clients-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/18/2015/sec-charges-former-investment-advisory-firm-president-stealing-clients-funds-commissioner-gallagher-dissents-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/25/2015/sec-charges-former-investment-bank-analyst-insider-trading-advance-client-deals-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/25/2012/sec-charges-former-j.crew-executive-insider-trading-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/11/2013/sec-charges-former-kpmg-partner-and-friend-insider-trading2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/20/2013/sec-charges-former-oppenheimer-private-equity-fund-manager-misleading-investors-about-valuation-and-performance-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/07/2015/sec-charges-former-pro-football-player-fraud-running-ponzi-scheme-involving-loans-athletes2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/20/2013/sec-charges-former-tech-company-executive-role-rajaratnam-insider-trading-case2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/06/2013/sec-charges-former-vp-investor-relations-violating-fair-disclosure-rules-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/27/2012/sec-charges-founder-equity-research-firm-insider-trading-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/05/2012/sec-charges-four-brokers-defrauding-customers-18.7-million-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/06/2015/sec-charges-four-former-officers-bank-holding-company-disclosure-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/05/2015/sec-charges-four-insider-trading-ring2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/27/2012/sec-charges-four-india-based-brokerage-firms-violating-u.s.-registration-requirements-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/16/2014/sec-charges-four-people-insider-trading-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/17/2012/sec-charges-germany-based-allianz-se-fcpa-violations-%28-banoun-and-clark-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/27/2012/sec-charges-goldman-sachs-and-a-former-gs-vice-president-pay-play-probe-involving-contributions-former-massachusetts-state-treasurer2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/11/2014/sec-charges-golfers-insider-trading2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2012/sec-charges-hedge-fund-adviser-and-two-executives-fraud-ongoing-probe2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/18/2013/sec-charges-hedge-fund-adviser-breaching-fiduciary-duty-participating-conflicted-principal-transaction2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/16/2014/sec-charges-hedge-fund-adviser-conducting-conflicted-transactions-and-retaliating-against-whistleblower-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/01/2015/sec-charges-hedge-fund-advisory-firm-conducting-fraudulent-fund-valuation-scheme2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/22/2013/sec-charges-hedge-fund-manager-and-brokerage-ceo-fraud2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/08/2011/sec-charges-hedge-fund-managers-and-traders-30-million-expert-network-scheme2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/10/2014/sec-charges-hewlett-packard-fcpa-violations-%28-campbell-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2014/sec-charges-hft-firm-violating-net-capital-rule2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/11/2013/sec-charges-illinois-misleading-pension-disclosures-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/02/2013/sec-charges-connection-disclosures-regarding-renewal-advisory-contract-a-mutual-fund2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/29/2013/sec-charges-indiana-school-district-and-muni-bond-underwriter-defrauding-investors-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/19/2014/sec-charges-individual-facilitating-insider-trading-scheme-edible-post-it-notes-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/25/2014/sec-charges-individuals-insider-trading-prior-ebay-acquisition-first-sec-non-prosecution-agreement-individual2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/29/2014/sec-charges-internal-auditor-insider-trading-wifes-account2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/17/2015/sec-charges-investment-adviser-and-mutual-fund-board-members-supervisory-failures-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/30/2013/sec-charges-investment-adviser-cherry-picking-and-soft-dollar-schemes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/15/2014/sec-charges-investment-advisers-misleading-investors-and-breaching-their-fiduciary-duties-clients2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/02/2014/sec-charges-investment-advisory-firm-and-co-owners-failing-disclose-conflict-interest-clients-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/29/2014/sec-charges-investment-advisory-firm-and-top-officials-custody-rule-violations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/29/2014/sec-charges-investment-bank-overstating-regulatory-capital2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/29/2015/sec-charges-investment-firm-and-its-manager-engaging-cherry-picking-scheme-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/21/2015/sec-charges-investment-firm-and-two-executives-defrauding-police-and-firefighter-pension-funds-%28-lofchie-comment-and-youtube-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/06/2011/sec-charges-investment-firm-illegally-dumping-billions-penny-stock-shares2026-04-15T20:45Zyearly https://www.findknowdo.com/news/12/23/2014/sec-charges-investment-manager-and-former-ceo-making-false-performance-claims2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/22/2014/sec-charges-investor-relations-executive-insider-trading-while-preparing-clients-press-releases2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/26/2014/sec-charges-investor-relations-firm-executive-insider-trading2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/23/2013/sec-charges-iss-breach-clients-confidential-proxy-voting-information-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/16/2012/sec-charges-j.p.-morgan-and-credit-suisse-misleading-investors-rmbs-offerings2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/12/2013/sec-charges-jacobs-brothers-insider-trading-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/12/2014/sec-charges-jefferies-llc-failing-supervise-its-mortgage-backed-securities-desk-during-financial-crisis-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/16/2013/sec-charges-knight-capital-violations-market-access-rule-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/14/2015/sec-charges-life-insurance-company-pricing-violations-relating-redemption-orders-investment-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/12/2013/sec-charges-london-based-hedge-fund-adviser-and-u.s.-based-holding-company-valuation-failures2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/28/2012/sec-charges-long-island-software-company-connection-bribery-scheme-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/19/2014/sec-charges-massachusetts-residents-drinking-buddy-insider-trading-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/03/2013/sec-charges-miami-based-trader-insider-trading-and-regulation-m-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/30/2014/sec-charges-money-manager-and-firm-misleading-advertisements-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/26/2013/sec-charges-money-market-fund-manager-fraud-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/10/2012/sec-charges-mutual-fund-adviser-failing-turn-over-records2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/12/2015/sec-charges-mutual-fund-adviser-improper-handling-fund-assets-and-selection-brokers2022-01-02T16:59Znever https://www.findknowdo.com/news/07/30/2012/sec-charges-n.y.-based-fund-manager-and-others-securities-law-violations-related-chinese-reverse-merger-company2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/12/2015/sec-charges-national-operator-profit-colleges-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/26/2015/sec-charges-nearly-two-dozen-unregistered-broker-dealers-participating-scheme-obtain-increased-offering-allocations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/11/2011/sec-charges-new-york-hedge-fund-and-wall-street-professionals-galleon-related-enforcement-action2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/16/2014/sec-charges-new-york-based-high-frequency-trading-firm-fraudulent-trading-manipulate-closing-prices2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/12/2013/sec-charges-new-york-based-private-equity-fund-advisers-misleading-investors-about-valuation-and-performance2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/21/2013/sec-charges-north-carolina-based-investment-adviser-misleading-fund-board-about-algorithmic-trading-ability2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/07/2013/sec-charges-ny-audit-firm-and-accountants-failures-audits-china-based-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/01/2014/sec-charges-nyse-nyse-arca-and-nyse-mkt-failure-operate-accordance-exchange-rules-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/19/2011/sec-charges-offshore-company-life-settlement-bonding-fraud2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/06/2015/sec-charges-oil-company-and-ceo-operating-ponzi-scheme-aimed-chinese-americans-and-eb-5-investors2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/13/2013/sec-charges-operator-miami-dade-countys-largest-hospital-misleading-investors-about-financial-condition-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/16/2012/sec-charges-oracle-corporation-fcpa-violations-related-secret-side-funds-india2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/06/2012/sec-charges-oregon-based-investment-adviser-failing-disclose-revenue-sharing-payments2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/10/2012/sec-charges-orthofix-international-fcpa-violations-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/04/2014/sec-charges-owner-brokerage-firm-manipulative-trading2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/19/2012/sec-charges-ox-trading-optionsxpress-and-former-cfo-registration-violations2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/02/2012/sec-charges-peter-madoff-fraud-and-false-statements-regulators-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/20/2014/sec-charges-private-equity-firm-pay-play-violations-involving-political-campaign-contributions2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/22/2014/sec-charges-private-equity-fund-adviser-misallocation-portfolio-company-expenses-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/12/2013/sec-charges-private-fund-fund-officer-and-employee-activities-unregistered-broker-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/13/2013/sec-charges-revlon-misleading-shareholders-going-private-transaction2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/19/2012/sec-charges-ring-buddies-insider-trading2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/17/2012/sec-charges-santa-monica-based-hf-manager-cherry-picking-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/08/2014/sec-charges-school-district-misleading-investors-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/11/2011/sec-charges-schwab-entities-and-two-executives-making-misleading-statements2026-04-15T20:45Zyearly https://www.findknowdo.com/news/01/11/2011/sec-charges-schwab-entities-making-misleading-statements2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2012/sec-charges-scotland-based-firm-improperly-boosting-hedge-fund-client-expense-u.s.-fund-investors-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/26/2012/sec-charges-securities-firm-employees-trading-and-tipping-ahead-merger2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/24/2011/sec-charges-securities-professionals-and-traders-international-hedge-fund-portfolio-pumping-scheme2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/22/2013/sec-charges-security-provider-fcpa-violations-china-indonesia-and-russia2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/19/2013/sec-charges-senior-manager-and-his-friend-insider-trading-advance-company-news2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/26/2012/sec-charges-silicon-valley-executive-role-galleon-insider-trading-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-charges-stock-promoter-internet-based-scalping-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/23/2014/sec-charges-stock-promoter-defrauding-investors-seeking-pre-ipo-facebook-and-twitter-shares2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/28/2011/sec-charges-stock-promoters-market-manipulation2026-04-15T20:45Zyearly https://www.findknowdo.com/news/01/29/2015/sec-charges-stock-based-lender-selling-penny-stock-shares-unregistered-broker-dealer2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/19/2014/sec-charges-stockbroker-and-law-firm-managing-clerk-insider-trading-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2011/sec-charges-td-ameritrade-failing-supervise-its-representatives-who-sold-shares-reserve-yield-plus-fund2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/12/2015/sec-charges-tech-group-operating-secret-trading-desk-and-misusing-dark-pool-subscriber-trading-information2026-04-15T20:41Zyearly https://www.findknowdo.com/news/04/23/2014/sec-charges-technology-company-insider-tipping-confidential-information-exploited-hedge-funds-%28-bondi-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/22/2013/sec-charges-son-whom-mom-didnt-love-much2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/11/2014/sec-charges-state-kansas-understating-municipal-bond-exposure-unfunded-pension-liability-%28-lofchie-comment-and-youtube-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/19/2013/sec-charges-three-brokerage-subsidiares-fraud-deceiving-customers-about-commissions2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/28/2013/sec-charges-three-firms-violating-custody-rule-%28-lofchie-comment%292022-01-02T17:02Znever https://www.findknowdo.com/news/01/09/2013/sec-charges-three-former-bank-executives-virginia-understating-loan-losses-during-financial-crisis2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/07/2014/sec-charges-three-friends-and-business-associates-insider-trading-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/30/2013/sec-charges-tipper-confidential-information-sac-capitals-lee2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/29/2013/sec-charges-trader-targeting-lebanese-and-druze-communities-houston-area-investment-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/22/2015/sec-charges-two-credit-card-company-employees-insider-trading-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/22/2012/sec-charges-two-feeders-one-south-floridas-largest-ever-ponzi-schemes-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/20/2013/sec-charges-two-florida-based-investment-advisers-preying-retirees-and-violating-custody-rule2022-01-02T16:59Znever https://www.findknowdo.com/news/09/29/2014/sec-charges-two-former-investment-bank-employees-insider-trading-advance-research-reports-containing-ratings-changes2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/02/2015/sec-charges-two-friends-insider-trading-acquisition-company2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/09/2013/sec-charges-two-kpmg-auditors-improper-audit-nebraska-bank-hiding-loan-losses-during-financial-crisis2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/31/2014/sec-charges-two-men-insider-trading-confidential-information-their-wives-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/30/2014/sec-charges-two-people-insider-trading-funds-announcement-regarding-investment2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/22/2014/sec-charges-two-traders-chile-insider-trading2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/30/2013/sec-charges-two-traders-spain-insider-trading2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/16/2012/sec-charges-u.s.-perpetrators-35-million-international-boiler-room-scheme-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/12/2012/sec-charges-u.s.-based-consultants-numerous-chinese-reverse-merger-companies-securities-fraud2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/22/2013/sec-charges-virgin-islands-based-investment-adviser-defrauding-clients2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/27/2013/sec-charges-weatherford-international-fcpa-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/14/2012/sec-charges-wells-fargo-selling-complex-investments-without-disclosing-risks2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/07/2013/sec-charges-whittier-trust-and-fund-manager-insider-trading-investigation-expert-networks2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/31/2013/sec-chief-accountant-beswick-remarks-32nd-annual-sec-and-financial-reporting-institute-conference2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/02/2014/sec-chief-accountant-delivers-presentation-regarding-auditing-smaller-broker-dealers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/07/2015/sec-chief-accountant-discusses-harmonizing-u.s.-and-international-accounting-standards2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/21/2012/sec-chief-accountant-james-kroeker-leave-commission-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/15/2014/sec-chief-accountant-leave-sec2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/08/2013/sec-chief-counsel-david-blass-clarifies-when-private-fund-employees-are-required-register-brokers-%28-lofchie-comment%292020-12-20T22:40Znever https://www.findknowdo.com/news/05/29/2013/sec-chief-economist-and-director-lewis-investor-protection-through-economic-analysis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/19/2014/sec-chief-economist-craig-lewis-delivers-remarks-economic-analysis-sec-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/15/2014/sec-chief-economist-craig-lewis-discusses-capital-formation-and-jobs-act2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2012/sec-chief-economist-lewis-expanded-role-economists-sec-rulemaking-and-guidance-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/18/2012/sec-chief-enforcement-divisions-asset-management-unit-bruce-karpati-remarks-enforcement-priorities-alternative-space2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/29/2015/sec-chief-market-abuse-unit-departs-after-16-years-service2026-04-15T20:41Zyearly https://www.findknowdo.com/news/12/12/2012/sec-chief-staff-didem-a.-nisanci-leave-agency2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/19/2015/sec-chief-staff-lona-nallengara-departs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/26/2013/sec-chief-enforcement-divisions-municipal-securities-and-public-pensions-unit-leave-commission2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/12/2014/sec-closes-case-against-former-siemens-executives-charged-fcpa-violations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/26/2015/sec-co-chief-asset-management-unit-discusses-conflicts-interest-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/05/2015/sec-commissioner-aguilar-and-investor-advocate-fleming-discuss-retirement-and-elderly-investors2023-04-24T22:44Znever https://www.findknowdo.com/news/03/22/2013/sec-commissioner-aguilar-delivers-speech-need-greater-diversity2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/10/2014/sec-commissioner-aguilar-discusses-boards-directors-role-cyber-risk-management-%28-isajiw-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/20/2015/sec-commissioner-aguilar-discusses-challenges-sec-%28-lofchie-comment-and-audio-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/13/2015/sec-commissioner-aguilar-discusses-municipal-markets-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/12/2015/sec-commissioner-aguilar-discusses-u.s.-equity-market-structure-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/22/2013/sec-commissioner-aguilar-encourages-greater-involvement-institutional-investors-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/02/2014/sec-commissioner-aguilar-gives-fsoc-thumbs-down-mutual-funds-discusses-cybersecurity-and-reg.-nms-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/09/2014/sec-commissioner-aguilar-issues-statement-warning-rating-agencies-received-exemptive-orders2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/18/2013/sec-commissioner-aguilar-commissions-statutory-responsibility-respond-iacs-recommendation-jobs-act2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/17/2013/sec-commissioner-aguilar-improving-fixed-income-markets-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/15/2015/sec-commissioner-aguilar-outlines-need-revisit-regulatory-framework-u.s.-treasury-securities-market-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/10/2014/sec-commissioner-aguilar-posts-mutual-fund/fsoc-comments-harvard-law-school-forum-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/26/2015/sec-commissioner-aguilar-proposes-public-private-partnership-combat-cybersecurity-threats2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/05/2013/sec-commissioner-aguilar-speaks-about-investor-protection2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/18/2014/sec-commissioner-aguilar-stresses-importance-updating-transfer-agent-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/18/2012/sec-commissioner-aguilar-urges-sec-be-given-more-enforcement-powers-and-resources2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/16/2012/sec-commissioner-aguilars-speech-31st-annual-meeting-forum-small-business-capital-formation2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/18/2013/sec-commissioner-aguilars-speech-importance-investment-advisers-developing-robust-culture-compliance-%28-lofchie-comment%292021-01-24T01:54Znever https://www.findknowdo.com/news/05/09/2013/sec-commissioner-aguilars-speech-need-robust-oversight-sros-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/17/2012/sec-commissioner-aguilar-protecting-our-economy-demands-adequate-capital-and-margin-requirements-security-based-swaps2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/25/2012/sec-commissioner-daniel-gallaghers-speech-sifma-regional-conference2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/12/2013/sec-commissioner-daniel-m.-gallaghers-remarks-primarily-proxy-issues2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/02/2012/sec-commissioner-elisse-b.-walter-bringing-municipal-bond-trading-light-%28speech%29-%28-lofchie-comment-important-speech%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/28/2013/sec-commissioner-elisse-walter-delivers-speech-corporate-disclosure2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/04/2015/sec-commissioner-gallagher-announces-updated-regulatory-chart-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/10/2015/sec-commissioner-gallagher-asserts-serious-flaws-systemic-risk-designation-process-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/22/2015/sec-commissioner-gallagher-attacks-dols-fiduciary-proposal-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/16/2014/sec-commissioner-gallagher-calls-reforms-equities-and-fixed-income-markets2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/03/2014/sec-commissioner-gallagher-criticizes-imposition-bank-capital-requirements-broker-dealers-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/17/2013/sec-commissioner-gallagher-delivers-remarks-proxy-advisory-services-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/06/2013/sec-commissioner-gallagher-delivers-remarks-regulatory-deference-global-markets-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/06/2013/sec-commissioner-gallagher-delivers-remarks-polish-regulators-policy-priorities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/15/2014/sec-commissioner-gallagher-delivers-speech-philosophies-capital-requirements-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/10/2015/sec-commissioner-gallagher-discusses-sec-supervision-fixed-income-liquidity-market-structure-and-pension-accounting-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/23/2015/sec-commissioner-gallagher-discusses-short-termism-relation-activism-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/14/2015/sec-commissioner-gallagher-discusses-competition-global-capital-markets2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/18/2013/sec-commissioner-gallagher-discusses-concerns-global-financial-regulatory-harmonization-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/04/2013/sec-commissioner-gallagher-discusses-concerns-proxy-advisors2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/27/2014/sec-commissioner-gallagher-discusses-corporate-disclosure-system-and-proxy-advisory-industry2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/05/2014/sec-commissioner-gallagher-discusses-disclosure-requirements-criticizes-use-regulatory-requirements-advance-political-goals-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/29/2014/sec-commissioner-gallagher-discusses-muni-market-issues-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2014/sec-commissioner-gallagher-discusses-promoting-small-business-capital-formation2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/30/2015/sec-commissioner-gallagher-discusses-rules-capital-formation-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/27/2014/sec-commissioner-gallagher-discusses-shareholder-proposals-and-federalization-corporate-governance-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/12/2014/sec-commissioner-gallagher-discusses-role-compliance-professionals2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/13/2015/sec-commissioner-gallagher-discusses-secs-wavering-waivers-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/27/2014/sec-commissioner-gallagher-discusses-secs-agenda-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/03/2015/sec-commissioner-gallagher-issues-statement-and-diagram-aggregate-impact-financial-services-regulations-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/09/2013/sec-commissioner-gallagher-remarks-corporate-disclosure-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/21/2012/sec-commissioner-gallagher-remarks-regulation-debt-markets-including-e-trading-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/30/2013/sec-commissioner-gallagher-remarks-proper-role-sec-corporate-governance2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/13/2013/sec-commissioner-gallagher-remarks-upon-stepping-enforcement-munis-market-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/17/2014/sec-commissioner-gallagher-speaks-about-secs-future-agenda-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/28/2013/sec-commissioner-gallagher-speaks-priorities-and-mispriorities-sec-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/24/2015/sec-commissioner-gallagher-speaks-military-servicemen-and-women-about-sec-investor-education2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/23/2012/sec-commissioner-gallagher-speech-%28i%29-harmonizing-bd-and-ia-regulation-and-%28ii%29-supervisory-liability-%28important%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/19/2013/sec-commissioner-gallagher-speech-corporate-penalties2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/15/2014/sec-commissioner-gallagher-submits-comment-letter-opposition-fsoc-process-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/16/2014/sec-commissioner-gallagher-urges-regulatory-humility-international-regulators-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/17/2013/sec-commissioner-gallaghers-speech-perils-false-narratives-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/04/2012/sec-commissioner-gallaghers-speech-time-a-fresh-look-equity-market-structure-and-self-regulation-%28important-speech%29-%28-lofchie-comment-and-related-memo%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/11/2013/sec-commissioner-gallaghers-remarks-subjecting-compliance-officers-supervisory-liability-%28-lofchie-comment-and-a-link-a-barrentine-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/05/2013/sec-commissioner-paredes-statement-his-departure2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/17/2015/sec-commissioner-piwowar-criticizes-prudential-regulators-attempt-regulate-non-bank-participants-capital-markets-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/07/2014/sec-commissioner-piwowar-delivers-opening-remarks-regarding-capital-markets-and-economic-growth2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/09/2013/sec-commissioner-piwowar-delivers-remarks-regarding-a-comprehensive-review-equity-market-structure2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/13/2015/sec-commissioner-piwowar-discusses-equity-market-structure2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/21/2015/sec-commissioner-piwowar-discusses-fixed-income-markets2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/14/2014/sec-commissioner-piwowar-discusses-sec-enforcement-initiatives-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/01/2014/sec-commissioner-piwowar-discusses-uniform-fiduciary-duty-debate-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/01/2014/sec-commissioner-piwowar-makes-recommendations-regarding-municipals-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/15/2014/sec-commissioner-piwowar-slams-fsoc-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/19/2014/sec-commissioner-piwowar-speaks-cost-benefit-analysis-and-flash-boys-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/28/2014/sec-commissioner-piwowar-speaks-sec-priorities-and-issues-regulatory-structure-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/25/2013/sec-commissioner-piwowars-remarks-enforcement-and-rulemaking-issues-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/14/2014/sec-commissioner-stein-discusses-capital-formation2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/24/2014/sec-commissioner-stein-discusses-capital-formation-and-regulation-a2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/06/2015/sec-commissioner-stein-discusses-how-facilitate-capital-formation-support-innovation-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/08/2014/sec-commissioner-stein-discusses-sec-priorities-improve-market-efficiency2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/11/2015/sec-commissioner-stein-encourages-industry-incorporation-leis-and-other-data-initiatives-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/22/2015/sec-commissioner-stein-issues-dissenting-statement-regarding-certain-waivers-firms-involved-fx-rate-manipulation-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/21/2014/sec-commissioner-stein-proposes-more-municipal-market-private-equity-fund-and-etf-transparency2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/25/2013/sec-commissioner-stein-sets-her-regulatory-priorities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/04/2014/sec-commissioner-stein-speaks-about-sec-tools-enhance-investor-protection2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/07/2014/sec-commissioner-stein-speaks-equity-markets-and-self-regulation-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/24/2012/sec-commissioner-walter-asks-what-now-%28enhancing-disclosure-municipal-securities-market%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/17/2013/sec-commissioner-walter-investment-advisers2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/17/2013/sec-commissioner-walter-jobs-act-title-ii2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/13/2013/sec-commissioner-walter-remarks-sro-outreach-conference2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/10/2012/sec-commissioner-walters-speech-cross-border-regulation-particularly-swaps-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/11/2015/sec-commissioners-aguilar-and-gallagher-urge-rethink-transfer-agent-rules-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/30/2015/sec-commissioners-applaud-proposals-shorten-trade-settlement-cycle2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/17/2014/sec-commissioners-debate-accredited-investor-definition-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/05/2013/sec-commissioners-deliver-remarks-proxy-services-roundtable2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/29/2012/sec-commissioners-gallagher-and-paredes-statement-regulation-money-market-funds2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/28/2013/sec-commissioners-gallagher-and-piwowar-issue-dissenting-statements-risk-retention2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/19/2014/sec-commissioners-question-legality-harvard-declassification-shareholder-proposals2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/02/2015/sec-commissioners-take-conflicting-public-stands-proposed-compensation-clawbacks-%28-stroud-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/17/2012/sec-commissioners-opening-statements-sec-opening-meeting-sd-msp-rules-webcast-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/06/2012/sec-completes-18th-annual-international-enforcement-institute2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/28/2014/sec-confirms-first-north-designated-offshore-securities-market2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2014/sec-continues-microcap-fraud-crackdown2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/11/2012/sec-corp-fin-no-action-letter-regarding-amil-participacoes-s.a.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/03/2014/sec-corporation-finance-director-higgins-discusses-disclosure-requirements2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/20/2013/sec-corporation-finance-report-accessing-u.s.-capital-markets-a-brief-overview-foreign-private-issuers-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/13/2012/sec-creates-new-data-analysis-group2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/03/2015/sec-delays-acting-proposed-tick-size-pilot-program-until-may-6-20152026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/27/2015/sec-delays-action-finra-rule-change-regarding-adoption-debt-research-rule2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/27/2015/sec-delays-action-finra-rule-proposal-regarding-research-analysts-and-reports2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/13/2014/sec-delays-date-compliance-final-municipal-advisor-registration-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/15/2015/sec-delays-finra-rule-change-regarding-quotation-requirements-unlisted-equity-securities-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/20/2015/sec-denies-no-action-relief-fund-regarding-exclusion-shareholder-proposal2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/30/2013/sec-deputy-chief-accountant-brian-croteau-gives-presentation-broker-dealer-rulemaking-and-applicability-auditor-independence-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/09/2014/sec-deputy-director-grim-discusses-division-investment-management-initiatives2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/21/2015/sec-designates-finra-administrator-professional-qualification-tests-associated-persons-registered-municipal-advisors-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/12/06/2012/sec-director-champ-remarks-investment-adviser-regulation-%28important-speech%29-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/12/2012/sec-director-cooks-speech-title-vii-implementation-%28-lofchie-comment%29-%28and-youtube-video%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/18/2015/sec-director-discusses-aml-compliance-programs2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/11/21/2012/sec-director-khuzami-remarks-alleged-276-million-insider-trading-scheme2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/21/2012/sec-director-khuzami-remarks-mortage-enforcement-action2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/15/2012/sec-director-khuzamis-remarks-about-fcpa-good-behavior-indifferent-behavior-and-bad-behavior2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/18/2014/sec-director-norm-champ-delivers-remarks-investment-management-industry-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/12/2013/sec-director-norm-champ-statement-various-issues-particularly-jobs-act-amendments-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/20/2014/sec-director-corporation-finance-delivers-remarks-capital-formation2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/28/2014/sec-director-corporation-finance-talks-about-jobs-act-and-accredited-investors2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/21/2014/sec-director-division-enforcement-ceresney-discusses-sec-enforcement-initiatives2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/19/2015/sec-director-division-enforcement-testifies-about-secs-budget-request-and-division-priorities-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/25/2013/sec-director-division-im-norm-champs-speech-life-insurance-company-products2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/13/2015/sec-director-division-trading-and-markets-testifies-establishment-venture-exchanges-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/21/2014/sec-director-enforcement-division-speaks-about-priorities-%28-bondi-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/09/2013/sec-director-philadelphia-office-step-down2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/04/2013/sec-director-division-corporation-finance-retire2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/26/2015/sec-director-division-economic-and-risk-analysis-discusses-risk-assessment2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/14/2015/sec-director-division-enforcement-discusses-cooperation-program-%28-lofchie-poetry-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/13/2015/sec-director-division-enforcement-discusses-forum-choices-%28-lofchie-video-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/25/2013/sec-director-tafaras-speech-crisis-and-conflicts-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/10/2012/sec-disciplinary-action-churning2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/30/2012/sec-division-corp-fin-no-action-letter-abt-financial-corporation-%28re-sea-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/30/2012/sec-division-corp-fin-no-action-letter-amerisourcebergen-corporation-%28re-sea-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-division-corp-fin-no-action-letter-botetourt-bankshares-inc.-%28re-sea-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/25/2012/sec-division-corp-fin-no-action-letter-first-ottawa-bancshares-inc.-%28re-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/30/2012/sec-division-corp-fin-no-action-letter-glenrose-instruments-inc.-%28re-sea-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/25/2012/sec-division-corp-fin-no-action-letter-potomac-bancshares-inc.-%28re-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-division-corp-fin-no-action-letter-republic-services-inc.-%28re-sea-rule-12h-3%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/16/2012/sec-division-corp.-fin.-guidance-shareholder-proposals2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/28/2012/sec-division-corp.-fin.-no-action-letter-ppg-industries-inc.-concerning-exchange-offer2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/22/2012/sec-division-corp.-fin.-responds-no-action-letter-united-realty-trust-incorporated2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/11/2014/sec-division-corporate-finance-director-higgins-delivers-remarks-disclosure-effectiveness-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/24/2014/sec-division-corporate-finance-issues-revised-statement-well-known-seasoned-issuer-waivers2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/20/2013/sec-division-corporate-finance-no-action-letter-options-clearing-corporation-regarding-securities-act-section-18-%28-parness-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/04/2012/sec-division-corporate-finance-update-financial-reporting-manual2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/15/2013/sec-division-corporation-finance-confirms-request-designate-malta-stock-exchange-plc-offshore-market2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/10/2015/sec-division-corporation-finance-director-higgins-discusses-directly-conflicts-exclusion-under-exchange-act2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/17/2013/sec-division-corporation-finance-grants-no-action-relief-ishares-connection-tender-offers2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/07/2014/sec-division-corporation-finance-issues-no-action-letter-regarding-oshkosh-corporations-request-reorganize-a-holding-company2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/05/2014/sec-division-corporation-finance-issues-no-action-letter-regarding-ubs-group-ags-request-reorganize-holding-company2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/27/2012/sec-division-corporation-finance-no-action-relief-first-citizens-bancshares-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/10/2014/sec-division-corporation-finance-updates-securities-act-compliance-and-disclosure-interpretations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/25/2015/sec-division-enforcement-director-urges-greater-diligence-improve-aml-compliance-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/29/2014/sec-division-im-director-discusses-complex-products-monitoring-and-alternative-mutual-fund-disclosure2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/19/2013/sec-division-im-director-norm-champ-delivers-remarks-mutual-fund-regulation2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/09/2014/sec-division-im-guidance-update-series-investment-companies-and-affiliated-transactions2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/07/2012/sec-division-im-guidance-securities-lending-u.s.-open-end-and-closed-end-investment-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/03/2013/sec-division-im-issues-guidance-exemption-advisers-venture-capital-funds2021-01-24T05:21Znever https://www.findknowdo.com/news/07/07/2014/sec-division-investment-management-director-champ-discusses-alternative-mutual-funds-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/10/2014/sec-division-investment-management-director-champ-discusses-monitoring-industry-trends-and-communication-market-participants2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/28/2013/sec-division-investment-management-issues-no-action-relief-ias-and-trusts-registered-open-end-management-investment-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/06/2012/sec-division-risk-strategy-and-financial-innovation-special-report-money-market-funds-%28interesting-stuff%29-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/13/2012/sec-division-trading-markets-no-action-letter-order-granting-business-development-corporation-america-a-limited-exemption-rule-102%28a%29-regulation-m2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/01/2012/sec-division-trading-and-markets-%28non%29-no-action-letter-ownership-bd-suspended-person2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/27/2013/sec-division-trading-and-markets-issues-no-action-letter-certain-ias-broker-dealer-registration-provisions2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/11/2013/sec-division-trading-and-markets-issues-no-action-relief-regarding-broker-dealer-customer-identification-rule2026-06-19T17:42Zmonthly https://www.findknowdo.com/news/07/30/2012/sec-division-trading-and-markets-no-action-letter-s3-matching-technologies-lp-%28re-sea-sections-15%28a%29%281%29-and-15%28b%29%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/20/2013/sec-doe-co-director-discusses-foreign-corrupt-practices-act2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/18/2012/sec-enforcement-action-andrey-c.-hicks-ia-34192026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/18/2012/sec-enforcement-action-belal-k.-faruki-ia-34052026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/18/2012/sec-enforcement-action-copeland-wealth-management-ia-34062026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/18/2012/sec-enforcement-action-david-e.-howard-ii-ia-33962026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/30/2012/sec-enforcement-action-elijah-bang-ia-34102026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/23/2012/sec-enforcement-action-gmb-capital-management-llc-%28currently-known-clearstream-investments-llc%29-gmb-capital-partners-llc-gabriel-bitran-and-marco-bitran-ia-3399-ic-30040-33-9315...2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/30/2012/sec-enforcement-action-gregory-d.-tindall-ia-34092026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/23/2012/sec-enforcement-action-james-e.-putman-ia-34072026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/30/2012/sec-enforcement-action-jason-george-rivera-jr.-ia-34112026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/09/2012/sec-enforcement-action-jason-pflaum-ia-33802026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/09/2012/sec-enforcement-action-john-d.-friedrich-ia-33942026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/22/2012/sec-enforcement-action-locust-offshore-management-llc-ia-34202026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/12/2012/sec-enforcement-action-mark-yagalla-ia-33952026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/10/2012/sec-enforcement-action-martin-currie-inc.-and-martin-currie-investment-management-ltd.-ia-3404-ic-300622026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/26/2012/sec-enforcement-action-matthew-m.-tannin-ia-3421-34-672492026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/19/2012/sec-enforcement-action-midsouth-capital-inc.-and-mark-d.-hill-ia-3398-ic-30038-34-668282026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/31/2012/sec-enforcement-action-oxford-investment-partners-llc-and-walter-j.-clarke-ia-3412-34-300862026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/29/2012/sec-enforcement-action-quantek-asset-management-llc-bulltick-capital-markets-holdings-lp-javier-guerra-and-ralph-patino-ia-3408-ic-30085-33-93262026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/26/2012/sec-enforcement-action-ralph-r.-cioffi-ia-3422-34-672502026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/27/2012/sec-enforcement-action-roberto-aleph-espinosa-34-67267-ia-34232026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/25/2012/sec-enforcement-action-andrew-j.-franz2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/19/2012/sec-enforcement-action-delaware-asset-advisers-and-alex-wei2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/19/2012/sec-enforcement-action-noonan-capital-management-llc-and-timothy-george-noonan2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/11/2013/sec-enforcement-advisor-sec-announces-third-whistleblower-award-%28-cf-memo%29-%28-youtube-video%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/03/2014/sec-enforcement-co-director-george-canellos-leave-agency2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/03/2013/sec-enters-final-judgment-against-philip-a.-falcone-and-harbinger-partners-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/13/2015/sec-equity-market-structure-advisory-committee-holds-first-meeting-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/06/2011/sec-exemption-securities-act-and-trust-indenture-act-relating-security-based-swaps2026-04-15T20:45Zyearly https://www.findknowdo.com/news/11/26/2012/sec-exemptive-order-extending-temporary-conditional-exemption-nationally-recognized-statistical-rating-organizations-exchange-act-rule-17g-5-%28pre-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/13/2012/sec-exemptive-order-certain-rules-regulation-sho-related-hurricane-sandy2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/28/2013/sec-exempts-ice-clear-europe-registration-requirement-under-exchange-act-section-17a%28b%29%281%29-respect-clearance-and-settlement-liffe-securities-products2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/21/2014/sec-expands-insider-trading-probe-include-44-funds2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/04/2012/sec-expects-move-forward-uniform-fiduciary-standard-%28-barrentine-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/02/2014/sec-extends-comment-period-two-releases-related-abs-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/28/2014/sec-extends-comment-period-two-releases-related-abs-%28pre-fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2013/sec-extends-compliance-date-certain-broker-dealer-financial-responsibility-rule-amendments2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/04/2013/sec-extends-compliance-date-certain-requirements-large-trader-rule2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/31/2015/sec-extends-exemptive-relief-regulation-nms-rule-retail-liquidity-programs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/01/2014/sec-extends-exemptive-relief-rule-612-regulation-nms-new-york-stock-exchange-llc-and-nyse-mkt-llc-connection-exchanges-retail-liquidity-programs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/16/2015/sec-extends-exemptive-relief-nyse-and-nyse-mkt-llc-regulation-nms-rule-regarding-retail-liquidity-programs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/23/2013/sec-extends-expiration-date-effective-period-exchange-act-rule-15ba2-6t2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/10/2014/sec-extends-its-own-review-period-finra-rules-regarding-otc-equity-trade-reporting-and-oats-reporting2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/09/2015/sec-extends-no-action-relief-broker-dealers-under-rule-17a-82026-06-19T17:41Zmonthly https://www.findknowdo.com/news/12/27/2013/sec-extends-no-action-relief-ice-clear-credit-llc-lch.clearnet-and-cme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/08/2013/sec-extends-no-action-relief-parent-company-requesting-subsidiary-become-investment-adviser2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/06/2013/sec-extends-no-action-relief-under-advisers-act-custody-rule2022-08-30T19:08Znever https://www.findknowdo.com/news/03/03/2014/sec-extends-review-period-finra-wash-sale-transactions-amendments-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/28/2014/sec-extends-review-period-finra-proposed-rule-change-clarify-classification-and-reporting-certain-securities-finra2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/24/2014/sec-extends-review-period-form-br-amendments2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/20/2014/sec-extends-temporary-conditional-exemption-nrsros2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/05/2014/sec-extends-temporary-exemptions-security-based-swaps-%28pre-fed.-reg.-version%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/15/2013/sec-extends-temporary-exemptions-regulation-sho-securities-damaged-hurricane-sandy2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/23/2014/sec-extends-temporary-rule-regarding-principal-trades-certain-advisory-clients-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/05/2014/sec-extends-time-period-action-proposed-finra-rule-change-corporate-financing-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/11/2013/sec-faqs-form-pf-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/16/2012/sec-fee-rate-advisory-2-fiscal-year-20132026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/13/2011/sec-files-action-against-company-and-its-ceo-trading-and-compensation-related-violations2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/25/2011/sec-files-administrative-actions-against-adviser-broker-dealer-relating-marking-close-transactions2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/20/2014/sec-files-amicus-brief-support-protecting-whistleblowers-retaliation-%28-seidel-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/12/2013/sec-files-charges-regard-collateral-selection-cdos2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/01/2012/sec-files-enforcement-action-against-investment-adviser-failing-guard-against-hacker-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/10/2015/sec-files-rule-amendment-finra-debit-process-collection-trade-reporting-facility-fees-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/10/2015/sec-files-twenty-third-substantive-amendment-second-restatement-cta-plan-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/05/2014/sec-final-rule-regulation-systems-compliance-and-integrity-published-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/09/2013/sec-final-rule-amendment-rule-filing-requirements-dually-registered-clearing-agencies-%28fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/03/2013/sec-final-rule-amendment-rule-filing-requirements-dually-registered-clearing-agencies-%28pre-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/13/2012/sec-final-rule-process-submissions-review-security-based-swaps-mandatory-clearing-and-notice-filing-requirements-clearing-agencies-technical-amendments...2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/15/2013/sec-final-rule-rescinds-exemptions-supervised-investment-bank-holding-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/18/2013/sec-final-rule-rescinds-exemptions-supervised-investment-bank-holding-companies-%28fed.-reg.-version%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/21/2014/sec-fines-bank-196-million-and-requires-admission-wrongdoing-providing-unregistered-services-u.s.-clients2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/01/2015/sec-fines-firm-policy-stifles-potential-whistleblowers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/09/2015/sec-fines-trader-regulation-m-violations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/11/2014/sec-fines-two-firms-trading-ahead-nexen-acquisition2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/02/2012/sec-foia-notice-three-exclusions2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/04/2012/sec-forms-7-m-and-10-m-now-available2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/19/2013/sec-freezes-assets-swiss-based-account-used-suspected-insider-trading-ahead-heinz-acquisition2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/05/2015/sec-freezes-profits-scheme-manipulate-avon-stock-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/16/2014/sec-fy-2014-enforcement-actions-summary-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/05/2012/sec-general-counsel-mark-cahn-leave-commission2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/07/2013/sec-gets-federal-courts-permission-pursue-bitcoin-related-lawsuit-%28-lofchie-comment-and-youtube-video%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/22/2014/sec-goes-after-penny-stock-schemes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/17/2015/sec-grants-approval-finras-amendments-trace-rules-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/09/2013/sec-grants-approval-finra-proposed-rule-change-regarding-dissemination-transactions-trace-eligible-securities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/20/2013/sec-grants-approval-finra-regarding-filing-exemptions-technical-rule-changes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/10/2015/sec-grants-approval-proposed-finra-rule-changes-relating-ats-volume-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/08/2014/sec-grants-bat-y-exchange-inc.-extension-limited-exemption-reg.-nms-rule-612%28c%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/21/2013/sec-grants-exemption-rule-102%28a%29-regulation-m-trilinc-global-impact-fund-llc2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/21/2015/sec-grants-exemption-allow-tender-offer-be-conducted-accordance-israeli-law2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/09/2015/sec-grants-exemption-ishares-u.s.-etf-trust-rule-14e-52026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/21/2015/sec-grants-exemption-japanese-credit-rating-agency2026-04-15T20:41Zyearly https://www.findknowdo.com/news/03/10/2014/sec-grants-exemption-lbg-rule-102-reg.-m2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/15/2014/sec-grants-nasdaq-extension-limited-exemption-reg.-nms-rule-612%28c%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/12/2015/sec-grants-no-action-relief-regulation-m-banco-santander2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/20/2013/sec-grants-no-action-relief-relating-certain-payments-retired-representatives2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/20/2014/sec-grants-no-action-relief-amerivest-regarding-advisory-fee-rebates-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/05/2015/sec-grants-no-action-relief-canadian-stock-transfer-company-inc.2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/02/2014/sec-grants-no-action-relief-entheos-audiology-cooperative-inc.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/24/2015/sec-grants-no-action-relief-investment-adviser-regarding-custody-rule2022-01-02T16:59Znever https://www.findknowdo.com/news/03/10/2014/sec-grants-no-action-relief-rs-global-natural-resources-fund-regarding-sub-advisory-agreement-approval2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/12/2012/sec-grants-no-action-relief-respect-classification-certain-persons-owners-broker-dealers-purposes-capital-rule-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/15/2014/sec-grants-securities-act-section-3%28a%29%289%29-no-action-relief-klabin-s.a.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/14/2013/sec-grants-seven-broker-dealers-approval-margin-methodology-applied-cleared-cds-transactions-subject-substantial-conditions-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/12/2012/sec-grants-temporary-no-action-relief-rule-10b-10-through-finra-nomura-securities-international-inc.-aftermath-sandy-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/09/2013/sec-grants-temporary-rule-exemption-regarding-establishment-a-consolidated-audit-trail-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/02/2014/sec-grants-two-rating-agencies-temporary-exemptions-conflicts-interest-rule2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/25/2014/sec-grants-waiver-ineligible-issuer-status-aegon-n.v.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/28/2014/sec-grants-waiver-rbs-being-ineligible-issuer-under-rule-405-commissioner-stein-dissents2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/04/2015/sec-grants-wksi-waiver-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/06/2011/sec-guidance-and-temporary-relief-regarding-security-based-swap-provisions-dodd-frank-act2026-04-15T20:45Zyearly https://www.findknowdo.com/news/12/27/2013/sec-guidance-investment-funds-maintained-charitable-organizations2022-08-30T19:08Znever https://www.findknowdo.com/news/07/24/2012/sec-guidance-re-definitions-mortgage-and-small-business-related-securities-%28fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/17/2012/sec-guidance-regarding-definitions-mortgage-related-security-and-small-business-related-security-%28sec-interpretation-request-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/25/2012/sec-halts-100-million-real-estate-based-ponzi-scheme-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/25/2012/sec-halts-fraudulent-investment-scheme-new-york-based-fund-manager-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/01/2013/sec-halts-husband-and-wife-scheme-targeting-foreign-investors-seeking-u.s.-residency-commission-issues-investor-alert2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2013/sec-halts-pyramid-scheme-targeting-asian-american-community2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/27/2014/sec-holds-cybersecurity-roundtable-%28-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/12/2015/sec-holds-first-investor-advisory-committee-meeting-2015-%28-lofchie-comment%292023-04-25T22:41Znever https://www.findknowdo.com/news/11/21/2014/sec-holds-government-business-forum-small-business-capital-formation2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/14/2014/sec-holds-investor-advisory-committee-meeting-%28-delta-strategy-group-summary%292023-04-25T22:42Znever https://www.findknowdo.com/news/07/10/2014/sec-holds-investor-advisory-committee-meeting-chair-white-and-commissioner-aguilar-address-committee-%28-delta-strategy-group-summary%292023-04-25T22:41Znever https://www.findknowdo.com/news/06/03/2015/sec-holds-meeting-advisory-committee-small-and-emerging-companies-%28-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/04/2015/sec-holds-meeting-advisory-committee-small-and-emerging-companies2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/14/2014/sec-holds-open-meeting-propose-rule-related-standards-clearing-agencies-%28-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/19/2015/sec-holds-roundtable-discussion-proxy-voting-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/24/2013/sec-im-director-norm-champ-delivers-remarks-independent-directors-council-annual-fall-meeting2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/05/2012/sec-im-division-director-life-insurance-company-products-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/25/2012/sec-im-no-act.-adviser-non-u.s.-insurance-company-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-imposes-cease-and-desist-order-against-wesley-capital-management-%28litigation-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/21/2014/sec-initiates-proceedings-determine-whether-approve-proposed-rule-changes-related-time-trade-disclosures-sophisticated-muni-market-professionals-and-suitability-%28-lofchie-comment%292020-12-19T23:03Znever https://www.findknowdo.com/news/03/13/2013/sec-inspector-general-hoecker-introduces-himself2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/26/2015/sec-institutes-proceedings-finra-proposal-adopt-rule-regarding-research-analysts-and-reports-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/23/2014/sec-institutes-proceedings-finra-amended-proposed-rule-change-relating-expanding-arbitrators-authority-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/07/2014/sec-institutes-proceedings-finra-proposed-rule-regarding-definitions-non-public-arbitrator-and-public-arbitrator-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/13/2014/sec-institutes-proceedings-finra-proposed-rule-relating-quotation-requirements-unlisted-equity-securities-and-deletion-otc-bulletin-board-service-rules-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/26/2015/sec-institutes-proceedings-consider-finras-proposal-adopt-debt-research-rule-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/07/2012/sec-investment-company-act-order-americafirst-quantitative-trust-and-americafirst-securities2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/26/2012/sec-investment-company-act-release-saratoga-investment-corp.-et-al.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/11/2014/sec-investment-management-director-champ-discusses-top-10-lessons-learned-and-points-remember-20142026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/07/2013/sec-investment-management-director-champs-remarks-2013-investment-management-institute2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/11/2013/sec-investment-management-director-champs-remarks-iaa-investment-adviser-compliance-conference-20132026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/11/2013/sec-investment-management-director-champs-remarks-ia-compliance-best-practices-summit-20132026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/17/2014/sec-investment-management-director-norm-champ-discusses-variable-products-derivatives2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/18/2013/sec-investor-advisory-comittee-hold-public-meeting2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/21/2014/sec-investor-advocate-fleming-argues-annual-investment-adviser-user-fees2023-04-24T22:46Znever https://www.findknowdo.com/news/03/26/2015/sec-investor-advocate-rick-fleming-discusses-benefits-structured-data2023-04-24T22:53Znever https://www.findknowdo.com/news/02/20/2015/sec-investor-advocate-rick-fleming-discusses-corporate-disclosure2023-04-24T22:44Znever https://www.findknowdo.com/news/10/03/2013/sec-investor-alert-warns-fake-correspondence2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/23/2013/sec-investor-alert-advertising-unregistered-securities-offerings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/24/2013/sec-investor-alert-beware-fraudulent-investment-offers-firm-purporting-sec-endorsement2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/06/2013/sec-investor-alert-binary-options-and-fraud2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/27/2013/sec-investor-alert-insider-transactions-and-forms-3-4-and-5-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/02/2013/sec-investor-alert-private-oil-and-gas-offerings2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/25/2012/sec-investor-bulletin-re-selecting-a-financial-professional2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/20/2014/sec-investor-bulletin-how-check-out-your-financial-professional2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/26/2012/sec-investor-bulletin-affinity-fraud2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/06/2014/sec-investor-bulletin-introduction-variable-annuities2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/04/2013/sec-investor-bulletin-delinquent-filings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/31/2012/sec-investor-bulletin-dtc-chills-and-freezes2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/19/2014/sec-investor-bulletin-how-fees-can-impact-value-investment-portfolio2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/28/2012/sec-investor-bulletin-how-read-confirmations2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/26/2013/sec-investor-bulletin-interest-rate-risk2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/28/2012/sec-investor-bulletin-secs-web-page-retail-investors2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/17/2014/sec-investor-bulletin-ten-things-you-should-know-about-investing2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/28/2013/sec-investor-bulletin-abcs-credit-ratings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/05/2013/sec-investor-bulletin-what-are-corporate-bonds2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/05/2013/sec-investor-bulletin-what-are-high-yield-corporate-bonds-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/30/2012/sec-issues-a-financial-literacy-study-mandated-dodd-frank-act2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/24/2013/sec-issues-annual-staff-reports-credit-rating-agencies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/11/2012/sec-issues-roadmap-phase-derivatives-regulation-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/20/2012/sec-issues-charges-fcpa-violations2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/08/2015/sec-issues-concept-release-regarding-possible-revisions-audit-committee-disclosures-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/10/2014/sec-issues-congressional-justification-fy-2015-budget-and-fy-2013-performance-report2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/24/2013/sec-issues-corrected-outdated-cross-references-securities-act-and-investment-company-act2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/04/2015/sec-issues-correction-regulation-a-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/02/2015/sec-issues-corrections-form-adv-and-investment-advisers-act-rules-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/01/2015/sec-issues-corrections-regulation-a-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/10/2014/sec-issues-exemption-open-end-management-investment-company-operating-etf-etfs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/15/2015/sec-issues-fee-rate-advisory-fiscal-year-20152026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/27/2015/sec-issues-fee-rate-advisory-fiscal-year-20162026-04-15T20:41Zyearly https://www.findknowdo.com/news/08/30/2013/sec-issues-fee-rate-advisory-fy-20142026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/14/2014/sec-issues-final-money-market-fund-reform-rules-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/07/2014/sec-issues-final-rule-regarding-responsibilities-secs-general-counsel2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/29/2014/sec-issues-first-fee-rate-advisory-fy-2015-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/21/2012/sec-issues-first-whistleblower-program-award-%28press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/28/2014/sec-issues-fourth-fee-rate-advisory-fy-20142026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/30/2014/sec-issues-guidance-business-development-companies-wholly-owned-sbic-subsidiaries2021-01-24T01:57Znever https://www.findknowdo.com/news/04/30/2014/sec-issues-guidance-conflict-minerals-reporting-%28-woody-and-lofchie-comments%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/15/2014/sec-issues-guidance-deregistration-investment-companies2021-01-24T01:47Znever https://www.findknowdo.com/news/06/26/2014/sec-issues-guidance-mutual-fund-enhanced-disclosure-suggesting-further-improvements2026-06-20T22:35Zmonthly https://www.findknowdo.com/news/10/28/2014/sec-issues-guidance-regarding-mixed-and-shared-funding-orders2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/24/2014/sec-issues-guidance-regarding-unbundling-proxy-proposals2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/26/2014/sec-issues-guidance-relating-private-funds-custody-rule-spvs-and-escrows2022-01-02T17:02Znever https://www.findknowdo.com/news/03/13/2015/sec-issues-guidance-statement-regarding-waivers-disqualification-under-regulation-a-and-rules-505-and-506-regulation-d2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/26/2015/sec-issues-guidance-update-registered-investment-advisers-personal-securities-transactions-reports2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/13/2013/sec-issues-guidance-update-disclosure-and-compliance-matters-investment-company-registrants-%28-mehta-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/15/2013/sec-issues-guidance-update-social-media-filings-investment-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/07/2013/sec-issues-guidance-update-regarding-iaa-custody-rule-%28-lofchie-comment%292022-01-02T17:02Znever https://www.findknowdo.com/news/10/31/2014/sec-issues-guidance-update-regarding-investment-company-consolidation2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/23/2015/sec-issues-im-guidance-update-acceptance-gifts-and-entertainment-%28-lofchie-comment%292021-02-01T20:00Znever https://www.findknowdo.com/news/04/29/2015/sec-issues-im-guidance-update-cybersecurity2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/31/2014/sec-issues-im-guidance-update-testimonial-rule-and-social-media2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/05/2014/sec-issues-im-guidance-update-regarding-business-development-companies-transactions-certain-second-tier-affiliates2021-01-24T01:57Znever https://www.findknowdo.com/news/11/10/2014/sec-issues-im-guidance-update-regarding-mixed-and-shared-funding-orders2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/10/2014/sec-issues-interpretive-guidance-municipal-advisor-registration-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/01/2015/sec-issues-interpretive-guidance-terms-spouse-and-marriage-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/15/2015/sec-issues-investor-alert-seniors-regarding-investment-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/07/2014/sec-issues-investor-alert-bitcoin-and-other-virtual-currency-related-investments2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/20/2014/sec-issues-investor-alert-false-claims-sec-registration2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/02/2014/sec-issues-investor-alert-investment-newsletters-used-tools-fraud2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/25/2014/sec-issues-investor-alert-social-media-and-investing-stock-rumors2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/05/2015/sec-issues-investor-alert-regarding-prime-bank-investments2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/03/2015/sec-issues-investor-alert-regarding-false-and-exaggerated-credentials-potential-investment-schemes2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/16/2014/sec-issues-investor-alert-regarding-marijuana-related-investments-amid-recent-trading-suspensions-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/11/2014/sec-issues-investor-alert-regarding-misconduct-financial-professionals2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/04/2014/sec-issues-investor-alert-regarding-unregistered-offerings2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/03/2015/sec-issues-investor-alert-warning-investors-companies-improperly-using-sec-seal-%28-lofchie-seal-selections%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/06/2014/sec-issues-investor-bulletin-bank-sweep-programs2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/15/2014/sec-issues-investor-bulletin-brokers-miscellaneous-fees-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/05/2015/sec-issues-investor-bulletin-investing-tips-20152026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/26/2014/sec-issues-investor-bulletin-private-placements-under-regulation-d2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/29/2014/sec-issues-investor-bulletin-recouping-losses-fraudulent-investment-schemes2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/22/2014/sec-issues-investor-bulletin-sec-investigations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/12/2015/sec-issues-investor-bulletin-structured-notes-%28-foster-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/21/2014/sec-issues-investor-bulletin-trading-suspensions2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/19/2014/sec-issues-investor-bulletin-regarding-affinity-fraud2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/31/2015/sec-issues-investor-bulletin-regarding-public-company-bankruptcy2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/27/2015/sec-issues-investor-bulletin-regarding-roth-tsp-uniformed-services-members2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/26/2012/sec-issues-investor-bulletin-help-investors-assess-municipal-bond-credit-risk-%28-lofchies-very-tactful-promotional-plug%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/30/2014/sec-issues-minor-corrections-asset-backed-securities-disclosure-and-registration-final-rule-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/17/2015/sec-issues-multimillion-dollar-whistleblower-award2026-04-15T20:41Zyearly https://www.findknowdo.com/news/08/07/2015/sec-issues-no-action-letter-regarding-quality-issuer-investor-relationship-under-reg.-d2026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/10/2015/sec-issues-no-action-letter-regarding-calculation-rule-24f-2-registration-fees2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/24/2013/sec-issues-no-action-letter-regarding-lost-securityholders2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/17/2015/sec-issues-no-action-letter-regarding-risk-retention-requirements-under-sea-section-15g2026-04-15T20:41Zyearly https://www.findknowdo.com/news/04/23/2014/sec-issues-no-action-letter-gabelli-convertible-income-securities-fund-regarding-shelf-registration-statements2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/06/2014/sec-issues-no-action-letter-mfa-regarding-investment-company-act-definition2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/30/2014/sec-issues-no-action-letter-rivernorth-regarding-reallocating-advisory-fee-payment2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/16/2014/sec-issues-no-action-relief-unregistered-sale-demand-notes-under-section-3%28a%29%285%29%28a%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/26/2014/sec-issues-no-action-relief-reg.-nms-connection-nyse-arcas-proposal-establish-retail-price-improvement-program2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/27/2014/sec-issues-no-action-relief-rule-15c3-3-provides-extended-time-broker-segregated-deposits-u.s.-branches-foreign-banks2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/27/2014/sec-issues-no-action-relief-rule-15c3-3-provides-extended-time-consents-sweep-accounts2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/17/2015/sec-issues-no-action-relief-regarding-contingent-offerings-under-sea-rule-15c2-42026-04-15T20:41Zyearly https://www.findknowdo.com/news/02/03/2014/sec-issues-no-action-relief-regarding-ma-broker-registration-%28-comments-martin-hewitt-and-steven-lofchie%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/16/2014/sec-issues-no-action-relief-regarding-pricing-mechanism-tender-offer2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/23/2015/sec-issues-no-action-relief-regarding-rule-14e-52026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/07/2014/sec-issues-no-action-relief-canadian-stock-transfer-company-inc.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/14/2015/sec-issues-no-action-relief-company-regarding-exclusion-shareholder-proposal2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/09/2013/sec-issues-no-action-relief-fifth-third-bancorp-securities-act-rule-4052026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/26/2015/sec-issues-no-action-relief-fund-regarding-omission-shareholder-proposal2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/29/2015/sec-issues-no-action-relief-fund-relies-exemptive-order-collecting-compensation2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/19/2014/sec-issues-no-action-relief-german-asset-management-company-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/27/2014/sec-issues-no-action-relief-investment-advisers-regarding-cash-payments-client-solicitations-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/30/2013/sec-issues-no-action-relief-lch.clearnet-sa-and-clearing-members-spun-out-components-index-cds2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/19/2014/sec-issues-no-action-relief-nuveen-asset-management-securities-lending-affiliates2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/30/2015/sec-issues-no-action-relief-rbc2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/18/2014/sec-issues-no-action-relief-brinks-company-regarding-custody-precious-metals-%28-lofchie-documentary-selection%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/20/2013/sec-issues-no-action-relief-ubs-securities-japan-co.-ltd.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/01/2015/sec-issues-notice-compliance-date-ban-third-party-solicitations-connection-political-contributions-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/28/2014/sec-issues-order-accepting-settlement-offer-cpa-and-former-cfo-commissioner-aguilar-dissents2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/03/2014/sec-issues-order-approving-finra-proposed-rule-regarding-new-entrant-alternative-display-facility2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/25/2014/sec-issues-order-directing-finra-and-exchanges-develop-tick-size-pilot-program-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/19/2012/sec-issues-order-granting-conditional-exemptions-connection-portfolio-margining-swaps-and-security-based-swaps-%28fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/17/2012/sec-issues-order-granting-conditional-exemptions-connection-portfolio-margining-swaps-and-security-based-swaps-%28pre-fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/27/2014/sec-issues-order-granting-limited-exemption-regulation-m2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/28/2014/sec-issues-order-granting-limited-exemptions-exchange-act-rule-10b-17-and-rules-101-and-102-regulation-m-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/10/2015/sec-issues-order-approval-pcaob-2015-budget-and-accounting-support-fee-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/06/2014/sec-issues-order-limited-exemptions-exchange-act-rules-and-regulation-m2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/23/2014/sec-issues-order-nasdaq-granting-extension-limited-exemption-reg.-nms2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/23/2014/sec-issues-proposed-rule-amendments-exemptions-under-securities-act-section-3%28b%29-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/23/2013/sec-issues-proposed-rules-permit-crowdfunding-%28pre-fed.-reg.-version%29-%28-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/27/2013/sec-issues-relief-aba-retirement-funds-permitting-issuance-units-without-1933-act-registration2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/06/2013/sec-issues-relief-rbs-securities-regarding-regulation-a-and-regulation-d2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/27/2012/sec-issues-report-brokerage-firms-handling-confidential-information-%28-lofchie-comment-important%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/07/2014/sec-issues-report-custom-tag-rates2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/21/2014/sec-issues-revised-statement-well-known-seasoned-issuer-waivers-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/09/2014/sec-issues-risk-alert-and-faq-regarding-customer-sales-securities2023-06-10T15:14Znever https://www.findknowdo.com/news/03/04/2013/sec-issues-risk-alert-and-investor-bulletin-investment-adviser-custody-rule-summarizes-rule-and-recent-violations-%28-lofchie-comment%292022-08-30T19:08Znever https://www.findknowdo.com/news/08/27/2013/sec-issues-risk-alert-investment-advisers-business-continuity-and-disaster-recovery-planning2022-11-09T18:37Znever https://www.findknowdo.com/news/01/30/2014/sec-issues-risk-alert-investment-advisers-due-diligence-processes-selecting-alternative-investments-%28-mehta-comment%292022-11-09T18:37Znever https://www.findknowdo.com/news/08/09/2013/sec-issues-risk-alert-options-trading-used-evade-regulation-sho-%28-lofchie-comment%292022-11-09T18:37Znever https://www.findknowdo.com/news/04/16/2014/sec-issues-risk-alert-announce-ocie-cybersecurity-initiative-%28-isajiw-comment%292022-11-09T18:37Znever https://www.findknowdo.com/news/09/30/2014/sec-issues-second-fee-rate-advisory-fiscal-year-20152026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/19/2012/sec-issues-special-report-congress-assigned-credit-ratings-structured-products-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/18/2014/sec-issues-staff-accounting-bulletin-update-guidance-pushdown-accounting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/24/2014/sec-issues-staff-analysis-data-and-academic-literature-related-mmf-reform2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/01/2014/sec-issues-staff-bulletin-proxy-voting-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/15/2012/sec-issues-staff-summary-report-examinations-rating-agencies-%28says-rating-agencies-got-better-must-get-better-still%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/14/2014/sec-issues-statement-favorable-jury-verdict-against-investment-advisor-and-sage-advisory-group-misleading-customers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/09/2015/sec-issues-technical-amendments-final-rule-regarding-omb-information-collection-requirements-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/10/2014/sec-issues-technical-corrections-asset-backed-securities-disclosure-and-registration-final-rule-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/16/2014/sec-issues-temporary-stay-final-rule-registration-municipal-advisors-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/18/2015/sec-issues-two-investor-bulletins-options2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/12/2014/sec-issues-updated-investor-alert-social-media-and-investing2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/11/2015/sec-issues-updated-investor-alert-regarding-government-impersonators2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/08/2015/sec-issues-updated-investor-bulletin-regarding-regulation-a2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/23/2014/sec-issues-waivers-credit-suisse2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/27/2015/sec-keeps-section-31-fee-rates-unchanged-fiscal-year-20152026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/09/2013/sec-launches-market-structure-data-and-analysis-website2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/09/2012/sec-litigation-release-former-deloitte-partner-pleads-guily-insider-trading2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/25/2013/sec-litigation-release-regarding-rengan-rajaratnam-insider-trading-case2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/25/2012/sec-litigation-release-defendant-matthew-brown-settles-penny-stock-manipulation-charges2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/06/2012/sec-litigation-release-final-judgements-entered-against-former-massachusetts-executives2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/29/2014/sec-los-angeles-office-examinations-director-retire2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/06/2015/sec-makes-technical-corrections-regarding-asset-backed-securities-disclosure-and-registration-rules-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/02/2013/sec-management-report-accompany-inspector-general-semiannual-report-%28april-1-2012-september-30-2012%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/01/2013/sec-meeting-feb.-1-small-and-emerging-companies-agenda-and-chairman-walters-welcoming-remarks2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/27/2015/sec-meeting-small-and-emerging-companies-and-definition-accredited-investor2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/16/2012/sec-memo-division-risk-strategy-and-financial-innovation2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2014/sec-modifies-municipalities-disclosure-initiative2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/01/2013/sec-names-acting-director-and-deputy-director-enforcement-division2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/03/2015/sec-names-acting-director-division-investment-management2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/02/2013/sec-names-andrew-bowden-director-ocie-current-director-carlo-v.-di-florio-join-finra2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/23/2013/sec-names-anne-k.-small-general-counsel2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/25/2015/sec-names-associate-director-office-market-supervision2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/17/2015/sec-names-associate-director-division-corporate-finance2026-04-15T20:41Zyearly https://www.findknowdo.com/news/01/28/2014/sec-names-barbara-lorenzen-associate-director-ocie-clearance-and-settlement-program2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/29/2013/sec-names-carl-w.-hoecker-inspector-general2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/05/2015/sec-names-daniel-gregus-associate-director-chicago-broker-dealer-exam-program2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/11/2013/sec-names-daniel-murdock-deputy-chief-accountant2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/05/2013/sec-names-david-glockner-director-chicago-regional-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/15/2014/sec-names-david-gottesman-deputy-chief-litigation-counsel2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/14/2014/sec-names-elizabeth-murphy-associate-director-division-corporation-finance2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/07/2013/sec-names-geoffrey-aronow-general-counsel2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/22/2013/sec-names-george-canellos-and-andrew-ceresney-co-directors-enforcement2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/14/2014/sec-names-gina-talamona-communications-director2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/15/2013/sec-names-gregg-e.-berman-associate-director-office-analytics-and-research2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/26/2014/sec-names-james-schnurr-chief-accountant2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/25/2014/sec-names-jeffrey-boujoukos-associate-regional-director2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/11/2013/sec-names-jennifer-marietta-westberg-deputy-director-division-risk-strategy-and-financial-innovation2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/11/2013/sec-names-jina-l.-choi-new-director-san-francisco-regional-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/21/2013/sec-names-julie-lutz-director-denver-regional-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/01/2013/sec-names-julie-m.-riewe-and-marshall-s.-sprung-co-chiefs-asset-management-unit2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/04/2013/sec-names-karen-l.-martinez-director-salt-lake-regional-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/15/2013/sec-names-keith-f.-higgins-director-division-corporation-finance2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/26/2014/sec-names-kelvin-kelcourse-associate-director-exam-program-boston2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/14/2013/sec-names-kevin-w.-goodman-head-broker-dealer-examination-program2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/08/2013/sec-names-leeann-gaunt-chief-municipal-securities-and-public-pensions-unit2026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/15/2013/sec-names-lona-nallengara-chief-staff2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/09/2015/sec-names-marc-wyatt-acting-director-office-compliance-inspections-and-examinations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/20/2014/sec-names-marc-wyatt-deputy-director-national-examinations-program2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/10/2013/sec-names-mark-kronforst-chief-accountant-division-corporation-finance2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/13/2015/sec-names-members-new-equity-market-structure-advisory-committee2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/11/2014/sec-names-michael-maloney-new-chief-accountant-enforcement-division2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/06/2014/sec-names-michael-osnato-chief-enforcement-divisions-complex-financial-instruments-unit2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/19/2015/sec-names-new-associate-director-division-corporation-finance2026-04-15T20:41Zyearly https://www.findknowdo.com/news/05/14/2015/sec-names-new-deputy-chief-accountant2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/18/2015/sec-names-new-regional-director-fort-worth-office2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/12/2013/sec-names-paul-levenson-director-boston-regional-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/08/2015/sec-names-richard-best-regional-director-salt-lake-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/09/2013/sec-names-sebastian-gomez-abero-head-office-small-business-policy-division-corporation-finance2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/05/2014/sec-names-secretary-and-first-ombudsman2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/15/2012/sec-names-thomas-butler-director-new-office-credit-ratings-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/07/2014/sec-names-thomas-krysa-associate-regional-director-denver-office2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/08/2014/sec-names-thomas-m.-piccone-head-national-exam-program-denver-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/01/2013/sec-names-timothy-b.-henseler-director-agencys-office-legislative-and-intergovernmental-affairs2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/29/2012/sec-names-todd-k.-scharf-chief-information-security-officer-and-associate-director-it-office2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/17/2014/sec-names-two-new-deputy-directors-division-trading-and-markets-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/08/2015/sec-names-walter-jospin-regional-director-its-atlanta-office2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/09/2013/sec-national-compliance-outreach-program-broker-dealers2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/31/2013/sec-no-action-electronic-road-shows-retail-investors-muni-offerings-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/27/2012/sec-no-action-guidance-expanding-definition-ready-market-certain-foreign-equity-securities2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/03/2011/sec-no-action-letter-re.-ss-16%28a%292026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2011/sec-no-action-letter-re.-internet-road-show-operator2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/23/2012/sec-no-action-letter-hr-block-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-no-action-letter-harbert-management-corporation-et-al.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-no-action-letter-skagit-state-bancorp-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-no-action-letter-ubs-financial-services-inc.-puerto-rico2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/16/2012/sec-no-action-letter-aberdeen-australia-equity-fund-inc.-aberdeen-chile-fund-inc.-and-aberdeen-global-income-fund-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/18/2012/sec-no-action-letter-box-market-llc2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/18/2012/sec-no-action-letter-box-options-exchange2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/09/2012/sec-no-action-letter-chicago-board-options-exchange-inc.-and-financial-industry-regulatory-authority-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/28/2011/sec-no-action-letter-chicago-mercantile-exchange2026-04-15T20:45Zyearly https://www.findknowdo.com/news/01/23/2013/sec-no-action-letter-classification-certain-persons-owners-broker-dealers-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/29/2013/sec-no-action-letter-directors-officers-and-principal-stockholders-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/17/2012/sec-no-action-letter-dividend-capital-total-realty-trust-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/28/2011/sec-no-action-letter-hq-life-sciences-investors2026-04-15T20:45Zyearly https://www.findknowdo.com/news/03/23/2011/sec-no-action-letter-lch.clearnet-ltd.2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/24/2012/sec-no-action-letter-royal-bank-canada2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/23/2011/sec-no-action-letter-sumitomo-mitsui-financial-group-inc.2026-04-15T20:45Zyearly https://www.findknowdo.com/news/07/19/2012/sec-no-action-letter-touchmark-bancshares-inc.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/30/2012/sec-no-action-relief-excusing-liquidating-company-period-filing-requirements2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/23/2013/sec-no-action-relief-excluding-shareholder-proposal-funds-reports2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/29/2012/sec-no-action-relief-options-clearing-corporation-permit-a-firm-act-a-clearing-member-while-it-transfers-its-business2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/30/2012/sec-no-action-relief-soybean-co-operative-interests-issued-co-op-are-not-subject-act2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/06/2012/sec-notice-exemption-revisions-subadvisory-agreements-without-shareholder-approval2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/17/2013/sec-obtains-13.9-million-penalty-against-rajat-gupta2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/23/2015/sec-obtains-asset-freeze-against-china-based-trader2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/28/2014/sec-obtains-asset-freeze-halt-fraud-transfer-agent2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/13/2011/sec-obtains-emergency-asset-freeze-against-hedge-fund-manager-fraudulent-misuse-fund-assets2026-04-15T20:45Zyearly https://www.findknowdo.com/news/06/05/2014/sec-obtains-final-judgment-against-investment-advisory-firm-cherry-picking-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/19/2012/sec-obtains-final-judgment-case-involving-ponzi-scheme-and-promotion-china-voice-holding-corp.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/27/2012/sec-obtains-final-judgment-consent-raj-rajaratnam2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/06/2015/sec-obtains-final-judgments-fraud-charges2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/02/2013/sec-obtains-preliminary-injunction-against-banc-de-binary2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/10/2015/sec-obtains-preliminary-injunction-against-two-individuals-insider-trading-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/10/2015/sec-obtains-preliminary-injunction-order-against-companies-charged-market-manipulation-scheme2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/09/2012/sec-ocie-examinations-letter-newly-registered-advisers2022-01-02T17:02Znever https://www.findknowdo.com/news/01/13/2015/sec-office-compliance-inspections-and-examinations-releases-its-2015-priorities2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/03/2013/sec-office-inspector-general-releases-2013-semiannual-report-congress-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/02/2014/sec-office-municipal-securities-announces-personnel-changes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/07/2012/sec-office-chief-accountant-remarks-policy-choices-informed-root-cause-analysis2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/02/2014/sec-office-investor-advocate-issues-annual-report-objectives-fy-2015-%28-delta-strategy-group-summary%292023-04-24T22:46Znever https://www.findknowdo.com/news/06/07/2013/sec-oig-reports-current-guidance-economic-analysis-sec-rulemakings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/24/2011/sec-open-meeting2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/21/2012/sec-open-meeting-general-solicitation/advertising-under-rules-506/144a2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/08/2012/sec-open-meeting-sunshine-act-advisory-committee-small-and-emerging-companies-today-june-8-20122026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/07/2012/sec-open-meeting-sunshine-act-tuesday-june-12-20122026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/16/2012/sec-open-meeting-regarding-capital-margin-and-segregation-requirements-security-based-sds-and-msps-capital-requirements-bds-%2810/17%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/24/2011/sec-open-meeting-definitions-under-title-vii-dodd-frank2026-04-15T20:45Zyearly https://www.findknowdo.com/news/06/05/2013/sec-open-meeting-money-market-fund-reform-%28-link-delta-strategy-description-sec-meeting%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/15/2014/sec-order-approving-finra-proposed-rule-broaden-arbitrators-authority-make-referrals-during-arbitration-proceeding-published-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/21/2014/sec-order-approving-msrb-proposed-amendments-rule-g-3-published-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/17/2012/sec-order-disapproving-proposed-rule-changes-codify-certain-traditional-trading-floor-functions-may-be-performed-designated-market-makers2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-order-extending-exemption-regard-definition-eligible-contract-participant-%28pre-fed.-reg.-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/22/2013/sec-order-extending-temporary-conditional-exemption-nationally-recognized-statistical-rating-organizations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/06/2011/sec-order-granting-temporary-exemptions-relating-definition-security-under-exchange-act2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/08/2013/sec-order-temporarily-extends-security-based-swap-exemptions2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/13/2013/sec-order-temporarily-extends-security-based-swap-exemptions-%28fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/07/2015/sec-orders-msrb-move-next-phase-core-standards-conduct-municipal-advisors2026-04-15T20:41Zyearly https://www.findknowdo.com/news/12/10/2014/sec-penalizes-firm-violating-market-access-rule2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/23/2015/sec-permits-abbreviated-offering-periods-non-convertible-debt-tender-offers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/18/2013/sec-press-release-its-approval-registration-rules-municipal-advisors2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/14/2011/sec-probes-banks-buyout-shops-over-dealings-sovereign-funds2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/01/2013/sec-proposal-cross-border-security-based-swaps-%28-commissioners-comments%29-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/30/2014/sec-proposed-amendments-implement-jobs-act-published-%28fed.-reg.%292020-12-15T05:20Znever https://www.findknowdo.com/news/08/15/2014/sec-proposed-extension-temporary-rule-regarding-principal-trades-certain-advisory-clients-published-federal-register2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/28/2011/sec-proposed-rule-reporting-investment-advisers-private-funds-and-certain-commodity-pool-operators-and-commodity-trading-advisors-form-pf2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/17/2015/sec-proposed-rules-hedging-disclosure-published-federal-register2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/20/2015/sec-proposes-amended-reporting-and-disclosure-requirements-investment-companies-and-advisers-%28-mehta-and-lofchie-comments-and-delta-strategy-group-summary%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/19/2014/sec-proposes-amendments-implement-jobs-act-mandate-exchange-act-registration-requirements2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/18/2013/sec-proposes-amendments-reg.-a-increase-access-capital-smaller-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/02/2015/sec-proposes-amendments-require-exchange-broker-dealers-become-members-national-securities-association-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/17/2012/sec-proposes-capital-and-margin-rules-sds-and-msps-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/03/2011/sec-proposes-clearing-agency-standards-operations-and-governance2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/29/2015/sec-proposes-cross-border-regulatory-framework-security-based-swaps-%28-lofchie-comment-and-delta-strategy-group-description-sec-meeting%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/09/2011/sec-proposes-first-series-rule-amendments-remove-references-credit-ratings2026-04-15T20:45Zyearly https://www.findknowdo.com/news/06/19/2013/sec-proposes-federal-register-money-market-fund-reform-and-amendments-form-pf-comments-due-september-17th-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/06/2013/sec-proposes-money-market-fund-reforms2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/25/2011/sec-proposes-net-worth-standard-accredited-investors-under-dodd-frank-act2026-04-15T20:45Zyearly https://www.findknowdo.com/news/02/03/2011/sec-proposes-new-rules-swaps-trading-platforms2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/28/2014/sec-proposes-new-system-records-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/23/2010/sec-proposes-permanent-rule-requiring-municipal-advisors-register-agency2026-04-15T20:45Zyearly https://www.findknowdo.com/news/08/25/2015/sec-proposes-process-statutorily-disqualified-associated-persons-effect-security-based-swaps-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/02/09/2011/sec-proposes-rule-amendments-remove-references-credit-ratings2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/27/2011/sec-proposes-rule-amendments-remove-references-credit-ratings-exchange-act-rules2026-04-15T20:45Zyearly https://www.findknowdo.com/news/03/25/2015/sec-proposes-rule-amendments-require-exchange-broker-dealers-become-members-finra-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/18/2013/sec-proposes-rule-pay-ratio-disclosure-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/14/2011/sec-proposes-rule-timely-acknowledgment-and-verification-security-based-swap-transactions2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/29/2015/sec-proposes-rule-comparing-executive-pay-and-financial-performance2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/01/2015/sec-proposes-rule-requiring-public-companies-adopt-clawback-policies-executive-compensation-%28-delta-strategy-group-summary-and-lofchie-comment-and-music-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/19/2013/sec-proposes-rules-and-forms-amending-regulation-a-%28-delta-strategy-group-summary%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/09/2015/sec-proposes-rules-hedging-disclosure-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/03/2011/sec-proposes-rules-security-based-swap-execution-facilities2026-04-15T20:45Zyearly https://www.findknowdo.com/news/03/12/2014/sec-proposes-rules-systemically-important-and-security-based-swap-clearing-agencies-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/07/2013/sec-proposes-rules-improve-systems-compliance-and-integrity-%28-lofchie-and-barrentine-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/20/2014/sec-proposes-rules-under-freedom-information-act2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/12/2015/sec-proposes-amend-reporting-and-disclosure-requirements-investment-companies-and-advisers-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/12/2014/sec-proposes-extend-temporary-rule-regarding-principal-trades-certain-advisory-clients2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/30/2014/sec-proposes-grant-exemptive-order-regarding-confirmation-requirements-certain-money-market-funds-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/15/2013/sec-provides-no-action-relief-unregistered-transfer-agent2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/05/2013/sec-provides-regulation-m-relief-barclays2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/18/2014/sec-publishes-2014-annual-report-congress-dodd-frank-whistleblower-program2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/08/2014/sec-publishes-amendments-exchange-act-and-investment-company-act-removing-references-credit-ratings-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/06/2013/sec-publishes-annual-adjustments-registration-fee-rates-fy-2014-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/03/2014/sec-publishes-draft-strategic-plan-public-comment-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/02/2014/sec-publishes-extension-review-period-finra-proposed-rule-regarding-classification-and-reporting-certain-securities-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/14/2015/sec-publishes-final-registration-rules-sbsds-and-msbsps-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/24/2013/sec-publishes-final-rule-amendments-rule-506-and-rule-144a-federal-register2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/18/2015/sec-publishes-final-rule-pay-disclosure-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/08/06/2015/sec-publishes-final-rule-pay-ratio-disclosure2026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/09/2014/sec-publishes-final-rules-and-guidance-application-security-based-swap-dealer-and-major-security-based-swap-participant-definitions-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/08/2013/sec-publishes-investment-management-guidance-electronic-delivery-distributions-shareholders2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/01/2013/sec-publishes-pay-ratio-disclosure-rule-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/24/2013/sec-publishes-proposed-amendments-regulation-d-form-d-and-rule-156-comment2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/05/2013/sec-publishes-proposed-rule-crowdfunding-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/26/2014/sec-publishes-proposed-rules-systemically-important-and-security-based-swap-clearing-agencies-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/31/2013/sec-publishes-report-regarding-administrative-proceedings2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/23/2013/sec-publishes-revised-form-d2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/11/2015/sec-publishes-sbs-reporting-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/19/2015/sec-publishes-sbs-reporting-rules-federal-register2026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/18/2015/sec-publishes-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/23/2013/sec-publishes-small-entity-compliance-guide-rule-506-disqualifications2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/21/2013/sec-publishes-two-final-rules-regarding-broker-dealers-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/14/2014/sec-re-proposes-remove-certain-references-credit-ratings-and-amend-issuer-diversification-provisions2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/02/2015/sec-reappoints-lewis-h.-ferguson-second-term-pcaob2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/15/2012/sec-receives-more-3000-whistleblower-tips-fy2012-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/15/2011/sec-reg.-m-no-action-relief2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/03/2013/sec-regional-office-director-retire2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2014/sec-regulation-sci-could-push-trading-costs-higher-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/23/2015/sec-rejects-no-action-request-regarding-omission-shareholder-proposal2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/12/2011/sec-release-approval-delay-implementation-finra-kyc-and-suitability-rules2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2011/sec-release-finra-proposal-amend-trading-halt-rules2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2011/sec-release-re-aletheia-research-and-management-et.-al.2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2011/sec-release-investment-adviser-performance-compensation2026-04-15T20:45Zyearly https://www.findknowdo.com/news/05/10/2011/sec-release-study-assigned-credit-ratings2026-04-15T20:45Zyearly https://www.findknowdo.com/news/04/26/2013/sec-releases-annual-report-office-minority-and-women-inclusion2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2013/sec-releases-annual-staff-report-form-pf-data-collection-uses-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/08/2013/sec-releases-freedom-information-act-2012-annual-report2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/06/2015/sec-releases-interpretation-whistleblower-rules2026-04-15T20:41Zyearly https://www.findknowdo.com/news/02/25/2014/sec-releases-memo-and-reopens-comment-period-asset-backed-securities-disclosure-data-and-registration2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2013/sec-releases-notice-soliciting-comments-immediately-effective-finra-rule-change-relating-trace-fees2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/22/2013/sec-releases-notice-soliciting-comments-proposed-amendments-msrb-rule-g-11-regarding-primary-offering-practices2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/25/2012/sec-releases-official-list-section-13%28f%29-securities-third-quarter-20122026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/31/2013/sec-releases-second-fee-rate-advisory-fy-20142026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/17/2014/sec-releases-staff-analysis-reporting-and-dissemination-security-based-swap-information-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/24/2011/sec-releases-staff-study-recommending-a-uniform-fiduciary-standard-conduct-broker-dealers-and-investment-advisers2026-04-15T20:45Zyearly https://www.findknowdo.com/news/11/21/2013/sec-releases-study-congress-credit-rating-agency-independence2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/24/2012/sec-releases-agencys-strategic-plan-performance-reports-and-budget-documents2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/27/2013/sec-removes-references-nrsro-ratings-certain-rules-and-forms-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/06/2013/sec-renames-division-focusing-economic-and-risk-analysis2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/28/2014/sec-reopens-comment-period-abs-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/09/2014/sec-reopens-comment-period-proposed-rule-target-date-retirement-fund-names-and-marketing-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/31/2013/sec-replies-letter-concerning-fixed-income-trades-ccm-acquire-third-party-research2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/14/2011/sec-report-may-urge-u.s.-brokers-adopt-fiduciary-standard-clients2026-04-15T20:45Zyearly https://www.findknowdo.com/news/10/25/2012/sec-report-administrative-proceedings-period-april-1-2012-through-september-30-20122026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/31/2012/sec-reports-municipal-securities-market2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/23/2012/sec-report-congress-decimalization2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/19/2012/sec-reports-more-1500-private-fund-advisers-registered-sec-passage-dodd-frank-%28-lofchie-comment%292020-12-15T06:48Znever https://www.findknowdo.com/news/06/12/2015/sec-requests-comment-exchange-traded-products-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/11/2015/sec-requests-comment-securities-transfers-rule-extension-omb-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/02/20/2015/sec-requests-comment-topics-discussed-proxy-roundtable-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/06/17/2015/sec-requests-comments-exchange-traded-products-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/12/2015/sec-requests-comments-msrb-rule-proposal-non-solicitor-municipal-advisors-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/08/25/2015/sec-requests-comments-proposed-rule-non-solicitor-municipal-advisors-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/03/17/2015/sec-requests-extension-collection-information-period-regarding-requirements-open-end-investment-companies-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/16/2015/sec-requests-extensions-previously-approved-collections-information2026-04-15T20:42Zyearly https://www.findknowdo.com/news/05/23/2014/sec-requests-further-comment-finra-proposed-rule-change-relating-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/26/2013/sec-requests-public-comments-regulatory-initiatives-under-dodd-frank-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/10/2014/sec-requires-closed-end-fund-publish-proxy-proposal-could-require-partial-liquidation-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/07/2012/sec-reschedules-date-market-technology-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/10/11/2012/sec-resource-extraction-rule-challenged-failing-cost-benefit-test2026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/09/2013/sec-responds-finra-cboe-and-c2-options-exchange-request-no-action-relief-regarding-rule-204-reg.-sho-and-allows-pre-fail-close-out-credit-multi-day-net-purchases-%28-barrentine-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2013/sec-responds-no-action-request-regarding-exemption-regulation-m2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/29/2014/sec-revises-edgar-filer-manual-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/30/2013/sec-rewards-three-whistleblowers-who-helped-stop-sham-hedge-fund2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/30/2013/sec-rewards-whistleblower-150000-payout2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/16/2012/sec-rule-15a-6-no-action-letter-ernst-young-global-ltd.2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/05/2014/sec-sanctions-10-companies-disclosure-failures-surrounding-financing-deals-and-stock-dilution2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/02/2013/sec-sanctions-and-settles-charges-against-investment-adviser-best-execution-failures-selecting-mutual-fund-share-classes2026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/24/2014/sec-sanctions-auditor-circumventing-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/06/2015/sec-sanctions-china-based-members-large-american-accounting-networks2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/08/2014/sec-sanctions-eight-audit-firms-violating-auditor-independence-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/17/2014/sec-sanctions-hong-kong-based-firm-and-accountants-audit-failures2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/16/2014/sec-sanctions-individual-trader-and-19-firms-short-selling-violations-advance-stock-offerings-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/12/08/2014/sec-sanctions-operator-bitcoin-related-stock-exchange-registration-violations-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/23/2013/sec-sanctions-three-firms-under-compliance-program-initiative2026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/31/2013/sec-sanctions-two-investment-advisers-best-execution-failures-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/20/2012/sec-sanctions-two-investment-advisers-impeding-examinations-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/20/2012/sec-santions-global-day-trading-firm-trading-practice-known-layering-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/14/2012/sec-says-its-enforcement-program-real-good-%28-super-real-good-or-maybe-even-super-duper-real-good%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/30/2012/sec-says-no-insider-trading-brazilians-chinese-and-man-westport-connecticut2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/30/2013/sec-says-ponzi-schemes-still-not-okay-5-real-estate-executives-charged2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/02/2013/sec-says-social-media-ok-company-announcements-if-investors-are-alerted-%28-lofchie-comment-and-cite-lofchie/bondi-discussion%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/12/2015/sec-schedules-meeting-vote-security-based-swap-rules-relating-data-repositories-and-trade-reporting2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/03/2014/sec-seeks-comments-investor-advisory-committee-recommendation-regarding-target-date-funds2023-04-25T22:43Znever https://www.findknowdo.com/news/07/10/2015/sec-seeks-comments-proposed-rules-require-notice-filings-connection-tier-2-securities-offerings-under-federal-regulation-a2026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/04/2014/sec-seeks-comments-tick-test-pilot-program-%28-lofchie-comment-and-music-selection%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/03/2014/sec-seeks-stop-orders-against-mining-companies-misleading-registration-statements2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/25/2013/sec-seeks-halt-scheme-raising-investor-funds-under-guise-jobs-act-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/16/2014/sec-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/13/2015/sec-settles-case-against-underwriter-pricing-related-fraud-municipal-securities-market2026-04-15T20:41Zyearly https://www.findknowdo.com/news/08/18/2015/sec-settles-charges-fcpa-violations-bank2026-04-15T20:41Zyearly https://www.findknowdo.com/news/12/05/2014/sec-settles-charges-illinois-city-stemming-fraudulent-bond-offering-scheme2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/13/2015/sec-settles-civil-action-against-former-cfo-commonwealth-bankshares-inc.2026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/17/2015/sec-settles-fraud-charges-against-investment-bank-affiliates2026-04-15T20:41Zyearly https://www.findknowdo.com/news/07/07/2014/sec-settles-pending-civil-action-against-noble-executives-regarding-payment-bribes-nigerian-customs-officials2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/17/2013/sec-settles-numerous-firms-covering-shorts-out-a-public-offering-violation-regulation-m2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/28/2012/sec-shuts-down-42-million-ponzi-scheme-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/31/2015/sec-solicits-comments-about-extending-collection-certain-information-canadian-issuers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/31/2015/sec-solicits-comments-about-extending-collection-certain-information-foreign-private-issuers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/01/2015/sec-solicits-comments-about-extending-collection-certain-information-funds-and-their-advisers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/30/2015/sec-solicits-comments-about-extending-collection-certain-information-funds-investing-registered-and-unregistered-mmfs2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/01/2015/sec-solicits-comments-about-extending-collection-certain-information-funds-under-ica-rule-10f-32026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/30/2015/sec-solicits-comments-about-extending-collection-certain-information-investment-advisers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/31/2015/sec-solicits-comments-about-extending-collection-certain-information-under-reg.-btr2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/06/2015/sec-solicits-comments-about-extending-collection-information-closed-end-funds2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/06/2015/sec-solicits-comments-about-collection-information-regarding-contracts-between-funds-and-fcms2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/06/2015/sec-solicits-comments-about-collection-information-under-rule-1542026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/12/2015/sec-solicits-comments-burden-collecting-information-investment-company-act-form-n-6-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/28/2015/sec-solicits-comments-information-collection-investment-companies-repurchasing-securities-cash2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/24/2015/sec-solicits-comments-information-regarding-broker-dealer-risk-assessment-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/07/2014/sec-solicits-comments-pcaob-proposed-rules2026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/24/2015/sec-solicits-comments-privacy-and-opt-out-notice-provisions-regulation-s-p2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/12/2015/sec-solicits-comments-collection-information-regarding-penny-stock-transactions-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/11/15/2013/sec-solicits-comments-two-proposed-amendments-finra-rule-83122026-04-15T20:43Zyearly https://www.findknowdo.com/news/07/21/2014/sec-solicits-comments-regarding-collection-certain-whistleblower-information-%28fed.-reg.%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/01/2015/sec-solicits-public-comment-audit-committee-disclosures2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/16/2012/sec-special-jobs-act-report-issuer-registration-under-section-12%28g%29-exchange-act-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/04/2012/sec-speeches-2012-aicpa-conference-current-sec-and-pcaob-developments2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/19/2013/sec-staff-denied-request-revisit-tax-accounting-treatment2026-04-15T20:43Zyearly https://www.findknowdo.com/news/11/14/2012/sec-staff-guidance-conflict-minerals-disclosure-small-entities2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/04/2015/sec-staff-provides-additional-analysis-regarding-proposed-pay-ratio-disclosure-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/11/2013/sec-staff-publishes-testimony-jobs-act-implementation-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/10/2012/sec-staff-recommends-sec-take-no-action-report-credit-rating-standardization2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/09/2011/sec-staff-report-issues-sales-structured-products-retail-investors2026-04-15T20:45Zyearly https://www.findknowdo.com/news/06/26/2012/sec-sues-fund-adviser-fees-charged-breach-duty-under-investment-company-act-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/11/2015/sec-sues-retirement-planners-making-false-claims-investors2026-04-15T20:42Zyearly https://www.findknowdo.com/news/09/26/2012/sec-sunshine-act-meeting2026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/09/2012/sec-sunshine-act-open-meeting2026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/07/2013/sec-survey-obligations-broker-dealers-and-investment-advisers-retail-customers-%28fed.-reg.-version%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/01/2013/sec-survey-obligations-broker-dealers-and-investment-advisers-retail-customers-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/09/25/2014/sec-suspends-trading-nine-penny-stocks-initiative-combat-microcap-fraud2026-04-15T20:42Zyearly https://www.findknowdo.com/news/03/02/2015/sec-suspends-trading-128-dormant-companies-under-operation-shell-expel-%28-lofchie-citation%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/08/09/2013/sec-temporarily-exempts-certain-broker-dealers-and-transactions-large-trader-rule-requirements2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/10/2014/sec-temporarily-extends-security-based-swap-exemptions-and-amends-order-%28fed.-reg.%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/10/18/2012/sec-third-report-implementation-sec-organizational-reform-recommendations2026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/06/2012/sec-extend-filing-deadlines2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/09/2013/sec-hold-advisory-committee-meeting-small-and-emerging-companies2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/09/2013/sec-hold-dodd-frank-investor-advisory-committee-meeting2023-04-26T00:06Znever https://www.findknowdo.com/news/02/27/2013/sec-hold-fixed-income-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/01/23/2013/sec-hold-national-compliance-event-broker-dealers2026-04-15T20:44Zyearly https://www.findknowdo.com/news/05/14/2015/sec-hold-open-meeting-proposals-regarding-registered-investment-companies-and-advisers2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/27/2015/sec-hold-roundtable-proxy-voting-%28-lofchie-comment%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/26/2013/sec-host-credit-ratings-roundtable-releases-staff-report-assigned-credit-ratings2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/04/2012/sec-host-decimalization-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/08/09/2012/sec-host-market-technology-roundtable2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/11/2012/sec-resume-exemptive-orders-etfs-using-derivatives-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/07/2013/sec-trading-and-markets-deputy-director-offers-remarks-decimalization-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/05/2012/sec-trading-and-markets-director-robert-cook-leave-commission-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/07/13/2012/sec-trading-and-markets-nal-rule-602-regulation-nms2026-04-15T20:44Zyearly https://www.findknowdo.com/news/12/18/2012/sec-trading-and-markets-no-act-financial-information-forum2026-04-15T20:44Zyearly https://www.findknowdo.com/news/06/06/2014/sec-turns-80-%28-lofchie-youtube-selection%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/05/28/2013/sec-upcoming-event-crowdfunding2026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/09/2014/sec-updates-compliance-and-disclosure-interpretation-relating-reg.-ab-and-other-securities-act-rules2026-04-15T20:42Zyearly https://www.findknowdo.com/news/10/03/2014/sec-updates-compliance-and-disclosure-interpretation-relating-securities-act-rule-147-%28intrastate-offerings%292026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/03/2014/sec-updates-compliance-and-disclosure-interpretations-qas-general-applicability2026-04-15T20:43Zyearly https://www.findknowdo.com/news/06/24/2015/sec-updates-compliance-and-disclosure-interpretations-regarding-regulation-a2026-04-15T20:42Zyearly https://www.findknowdo.com/news/04/22/2014/sec-updates-compliance-and-disclosure-interpretations-relating-securities-act-rules-134-165-and-4332026-06-20T23:10Zmonthly https://www.findknowdo.com/news/01/03/2014/sec-updates-exchange-act-rule-qa-regarding-establishment-a-group-under-section-13%28d%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/04/07/2014/sec-updates-faqs-regarding-conflict-minerals2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/07/2014/sec-updates-financial-reporting-manual2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/12/2014/sec-updates-form-pf-faq-%28-lofchie-comment%292026-04-15T20:43Zyearly https://www.findknowdo.com/news/12/04/2013/sec-updates-securities-act-rule-qa2026-04-15T20:43Zyearly https://www.findknowdo.com/news/01/26/2015/sec-updates-securities-act-rules-and-regulation-s-t-compliance-and-disclosure-interpretations2026-04-15T20:42Zyearly https://www.findknowdo.com/news/01/23/2014/sec-updates-securities-act-rules-compliance-and-disclosure-interpretations2026-04-15T20:43Zyearly https://www.findknowdo.com/news/03/19/2013/sec-v.-cr-intrinsic-investors-llc-%28sac%29-insider-trading-case2026-04-15T20:44Zyearly https://www.findknowdo.com/news/04/22/2013/sec-v.-sipc-definition-customer-%28-lofchie-comment%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/11/20/2012/sec-violations-its-internal-policies-relating-information-technology-security2026-04-15T20:44Zyearly https://www.findknowdo.com/news/02/05/2015/sec-waives-oppenheimers-automatic-disqualification-regulation-d-sec-commissioners-dissent2026-04-15T20:42Zyearly https://www.findknowdo.com/news/02/03/2014/secs-division-corp.-fin.-issues-no-action-relief-regarding-preliminary-proxy-statement-filing-under-curacao-law2020-12-15T05:21Znever https://www.findknowdo.com/news/01/15/2014/secs-division-investment-management-cautions-advisers-and-directors-funds-trading-fixed-income-markets-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/04/22/2013/secs-non-prosecution-agreement-ralph-lauren-corporation-involving-fcpa-misconduct2020-12-15T04:38Znever https://www.findknowdo.com/news/10/02/2012/secs-records-management-practices-%28oig-final-report%292021-06-11T21:36Znever https://www.findknowdo.com/news/04/20/2015/secs-regulation-amendments-published-federal-register2020-12-15T03:33Znever https://www.findknowdo.com/news/08/19/2013/sec-cftc-and-finra-issued-a-staff-advisory-business-community-and-disaster-recovery-planning2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2014/sec-finra-and-msrb-hold-compliance-outreach-program-muni-advisors2020-12-15T04:32Znever https://www.findknowdo.com/news/12/06/2012/sec-finra-issue-new-investor-alert-year-end-investment-considerations-individual-investors2020-08-24T19:46Znever https://www.findknowdo.com/news/10/22/2014/sec-frb-and-hud-join-occ-fdic-and-fhfa-adopting-credit-risk-retention-rules2026-04-15T21:18Zyearly https://www.findknowdo.com/news/11/01/2011/sec-cftc-statement-mf-global-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/18/2012/sec-instructions-wire-transfers-%28fedwire%29-and-check-payment-sec-filing-fees2020-08-24T19:53Znever https://www.findknowdo.com/news/10/31/2013/sec-order-instituting-proceedings-determine-proposed-rule-change-relating-participation-alternative-display-facility2020-12-15T05:52Znever https://www.findknowdo.com/news/10/24/2013/sec-proposed-finra-rule-change-revise-series-6-examination-program-%28immediately-effective%292020-12-19T23:53Znever https://www.findknowdo.com/news/04/01/2013/secs-office-inspector-general-releases-two-audit-reports-critical-secs-data-security2021-06-14T13:34Znever https://www.findknowdo.com/news/07/05/2012/second-amendment-july-14-2011-order-swap-regulation-%28cftc-final-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/16/2012/second-amendment-july-142011-order-swap-regulation-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/09/2014/second-circuit-affirms-decision-dismissing-certain-claims-against-madoff-customers-madoff-trustee-%28-mcdonnell-comment%292020-08-24T19:20Znever https://www.findknowdo.com/news/05/23/2014/second-circuit-court-appeals-reverses-judgment-against-former-securities-broker-regarding-market-timing-practices2020-08-24T19:23Znever https://www.findknowdo.com/news/06/04/2014/second-circuit-court-overturns-decision-reject-sec-citigroup-settlement-%28-bondi-and-isajiw-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/22/2014/second-circuit-expresses-skepticism-toward-governments-theory-insider-trading-cases-against-downstream-tippees2020-12-15T03:27Znever https://www.findknowdo.com/news/08/22/2014/second-circuit-holds-forum-selection-clauses-trump-finra-arbitration-rule-%28-bondi-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/06/29/2015/second-circuit-holds-national-bank-act-preemption-inapplicable-third-party-assignees-bank-loans2022-08-30T19:10Znever https://www.findknowdo.com/news/04/08/2013/second-circuit-interprets-sec-rule-10b-16-requirements-disclosure-margin-policies-broker-dealers-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/07/16/2014/secretary-lew-discusses-cybersecurity2021-03-20T16:47Znever https://www.findknowdo.com/news/04/12/2013/secretary-lew-testifies-president-obamas-fiscal-year-2014-budget2020-08-06T23:29Znever https://www.findknowdo.com/news/08/13/2015/secretary-labor-perez-moves-forward-fiduciary-standards-proposal-%28-lofchie-comment%292020-12-15T06:26Znever https://www.findknowdo.com/news/01/09/2013/secretary-labor-hilda-l.-solis-announces-resignation2021-06-14T16:08Znever https://www.findknowdo.com/news/08/28/2012/section-11%28d%29-relief-marketing-etfs2021-01-24T02:58Znever https://www.findknowdo.com/news/11/03/2011/securities-and-markets-stakeholder-group-publishes-comments-esmas-advice-supervision-and-third-countries-under-aifmd2021-06-11T17:45Znever https://www.findknowdo.com/news/01/14/2011/securities-industry-and-financial-markets-association2026-06-19T17:42Zmonthly https://www.findknowdo.com/news/04/13/2012/securities-industry/regulatory-council-continuing-education-issues-firm-element-advisory-update-%28finra-regulatory-notice%292020-12-03T22:38Znever https://www.findknowdo.com/news/11/27/2012/securities-sro-rule-change2020-12-15T04:09Znever https://www.findknowdo.com/news/03/13/2013/securities-sro-rule-changes-box-and-cboe2020-12-15T03:54Znever https://www.findknowdo.com/news/10/24/2012/securities-sro-rule-changes-cboe-and-nasdaq2020-08-06T23:29Znever https://www.findknowdo.com/news/10/25/2012/securities-sro-rule-changes-cme-and-nyse2020-08-06T23:29Znever https://www.findknowdo.com/news/01/15/2013/security-based-swaps-capital-margin-and-segregation-requirements-proposed-rule-comment-period-extension-%28sec-pre-fed.-reg.-version%292020-12-15T05:59Znever https://www.findknowdo.com/news/10/18/2013/sef-seeks-determination-mandatory-exchange-trading-swaps-%28-lofchie-comment%292020-12-15T05:43Znever https://www.findknowdo.com/news/11/20/2014/seia-asks-irs-change-proposed-regulations-permit-broader-investment-reits-solar-energy2020-08-24T19:03Znever https://www.findknowdo.com/news/06/28/2013/senate-ag-committee-announces-hearing-date-reauthorization-cftc2020-08-24T19:38Znever https://www.findknowdo.com/news/05/13/2014/senate-ag-committee-holds-hearing-hft-and-automated-trading-futures-markets-%28-delta-strategy-group-summary%292020-12-15T06:49Znever https://www.findknowdo.com/news/12/09/2014/senate-ag-committee-hold-hearing-regarding-cftc2020-12-15T02:12Znever https://www.findknowdo.com/news/04/08/2014/senate-agricultural-committee-approves-cftc-nominations2020-08-24T19:23Znever https://www.findknowdo.com/news/02/26/2014/senate-agriculture-committee-announces-hearing-consider-pending-cftc-nominations2020-08-24T19:23Znever https://www.findknowdo.com/news/01/28/2015/senate-agriculture-committee-announces-subcommittee-assignments2020-08-24T19:00Znever https://www.findknowdo.com/news/07/18/2013/senate-agriculture-committee-hearing-reauthorization-commodity-futures-trading-commission-%28cftc%29-%28-delta-strategy-group-hearing-summary%292020-12-15T03:15Znever https://www.findknowdo.com/news/05/15/2015/senate-agriculture-committee-holds-hearing-regarding-end-users-and-market-liquidity-%28-delta-strategy-group-summary%292020-12-15T03:28Znever https://www.findknowdo.com/news/04/04/2014/senate-agriculture-committee-vote-cftc-nominations-%28-delta-strategy-group-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/30/2013/senate-agriculture-committees-stabenow-calls-ctfc-review-alleged-manipulation-aluminum-market-%28-lofchie-comment%292020-12-15T04:02Znever https://www.findknowdo.com/news/09/24/2013/senate-agriculture-commmittee-chairperson-stabenow-calls-cftc-review-possible-manipulation-renewable-fuels-market2020-12-15T04:23Znever https://www.findknowdo.com/news/05/24/2013/senate-aides-nominated-replace-sec-commissioners2020-08-24T19:43Znever https://www.findknowdo.com/news/06/26/2014/senate-appropriations-committee-releases-fy-2015-budget-proposal-sec-and-cftc-differs-significantly-house-proposal2020-08-24T19:23Znever https://www.findknowdo.com/news/05/14/2014/senate-appropriations-subcommittee-holds-hearings-sec-and-cftc-budgets2021-06-11T20:05Znever https://www.findknowdo.com/news/12/12/2014/senate-approves-appropriations-bill-amending-swaps-push-out-rule-%28-lofchie-comment%292021-01-06T01:51Znever https://www.findknowdo.com/news/09/04/2014/senate-banking-committee-announces-hearing-assessing-financial-regulatory-system2020-12-15T04:57Znever https://www.findknowdo.com/news/02/13/2013/senate-banking-committee-chairman-johnson-unveils-banking-committee-agenda-financial-regulation2020-12-15T05:17Znever https://www.findknowdo.com/news/07/08/2014/senate-banking-committee-hearing-hft-and-market-structure-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292020-12-03T16:22Znever https://www.findknowdo.com/news/02/14/2013/senate-banking-committee-hearing-wall-street-reform-oversight-financial-stability-and-consumer-and-investor-protections-%28-video-and-highlights%292020-12-15T04:10Znever https://www.findknowdo.com/news/03/19/2013/senate-banking-committee-holds-executive-session-consider-nominations-richard-cordray-and-mary-jo-white2020-08-24T19:43Znever https://www.findknowdo.com/news/07/23/2015/senate-banking-committee-holds-hearing-measuring-systemic-importance-u.s.-bank-holding-companies-%28-delta-strategy-group-summary%292020-12-15T04:45Znever https://www.findknowdo.com/news/09/09/2014/senate-banking-committee-holds-hearing-wall-street-reform-%28-delta-strategy-group-summary%292020-12-15T04:30Znever https://www.findknowdo.com/news/07/08/2015/senate-banking-committee-holds-hearing-regarding-role-fsb-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292020-12-15T05:19Znever https://www.findknowdo.com/news/03/14/2014/senate-banking-committee-holds-hearing-consider-nominations-various-agencies-%28-delta-strategy-group-summary%292020-12-15T05:07Znever https://www.findknowdo.com/news/03/23/2015/senate-banking-committee-holds-hearing-examine-regulatory-regime-banks2021-06-21T20:35Znever https://www.findknowdo.com/news/07/02/2014/senate-banking-committee-hold-hearing-high-frequency-trading-and-market-structure2020-12-03T11:45Znever https://www.findknowdo.com/news/05/21/2015/senate-banking-committee-votes-financial-regulatory-improvement-act-20152020-12-15T06:54Znever https://www.findknowdo.com/news/11/06/2013/senate-banking-hearing-housing-finance-reform-%28-delta-strategy-group-summary%292020-08-24T19:31Znever https://www.findknowdo.com/news/10/30/2013/senate-banking-hearing-housing-reform-%28-delta-strategy-group-summary%292020-12-15T02:45Znever https://www.findknowdo.com/news/10/31/2013/senate-banking-hearing-housing-reform-government-guarantee-mortgage-backed-securities-%28-delta-strategy-group-summary%292020-08-24T19:31Znever https://www.findknowdo.com/news/11/14/2013/senate-banking-hearing-janet-yellens-nomination-fed.-chair-%28-delta-strategy-group-summary%292020-12-15T02:58Znever https://www.findknowdo.com/news/07/11/2013/senate-banking-hearing-mitigating-systemic-risk-through-wall-street-reforms-%28-delta-strategy-group-hearing-summary%292020-12-15T02:43Znever https://www.findknowdo.com/news/01/30/2014/senate-banking-subcommittee-holds-hearing-annual-report-and-oversight-ofr-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/01/15/2014/senate-banking-subcommittee-holds-hearing-regulating-financial-holding-companies-and-physical-commodities-%28-delta-strategy-group-summary%292022-08-30T19:10Znever https://www.findknowdo.com/news/12/24/2012/senate-committee-hearing-securities-trading-venues2020-12-03T16:22Znever https://www.findknowdo.com/news/02/22/2013/senate-committee-hearing-addressing-fhas-financial-condition-and-program-challenges-part-ii2020-08-24T19:43Znever https://www.findknowdo.com/news/03/05/2013/senate-committee-hearing-assessing-bank-secrecy-act-compliance-and-enforcement2020-08-24T19:43Znever https://www.findknowdo.com/news/02/08/2013/senate-committee-hearing-oversight-financial-stability-and-consumer-and-investor-protections2020-08-24T19:43Znever https://www.findknowdo.com/news/03/05/2013/senate-committee-nominations-hearing2020-12-15T05:12Znever https://www.findknowdo.com/news/02/19/2013/senate-committee-agriculture-announces-hearing-oversight-cftc2020-12-15T02:36Znever https://www.findknowdo.com/news/01/09/2015/senate-committee-agriculture-announces-senior-staff-selections2020-08-24T19:00Znever https://www.findknowdo.com/news/01/23/2015/senate-committee-agriculture-nutrition-and-forestry-announces-committee-business-meeting2020-08-24T19:00Znever https://www.findknowdo.com/news/02/27/2013/senate-committee-agriculture-nutrition-and-forestry-chairwoman-stabenow-announces-plans-cftc-reauthorization2020-12-15T03:24Znever https://www.findknowdo.com/news/12/10/2014/senate-committee-banking-housing-and-urban-affairs-holds-hearing-cybersecurity-financial-industry2021-03-20T16:47Znever https://www.findknowdo.com/news/03/03/2015/senate-committee-banking-housing-and-urban-affairs-holds-hearing-federal-reserve-accountability-and-reform-%28-delta-strategy-group-summary%292020-12-15T02:29Znever https://www.findknowdo.com/news/03/12/2013/senate-committee-banking-housing-and-urban-affairs-testimonies-sec-chair-and-cfpb-director-nominees2020-12-15T06:31Znever https://www.findknowdo.com/news/05/13/2013/senate-committee-banking-housing-and-urban-affairs-upcoming-hearings2020-12-15T02:50Znever https://www.findknowdo.com/news/03/04/2014/senate-committee-finance-announces-leadership-team2020-08-24T19:28Znever https://www.findknowdo.com/news/07/22/2014/senate-committee-questions-hedge-fund-banks-basket-options2020-08-24T19:23Znever https://www.findknowdo.com/news/12/17/2014/senate-confirms-colette-honorable-ferc-commissioner-%28-irvin-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/04/08/2013/senate-confirms-mary-jo-white-sec-chair2020-08-24T19:43Znever https://www.findknowdo.com/news/06/20/2013/senate-confirms-mike-froman-be-u.s.-trade-representative-max-baucus-states-full-support2020-08-24T19:38Znever https://www.findknowdo.com/news/08/02/2013/senate-confirms-white-stein-and-piwowar-sec-posts2020-08-24T19:38Znever https://www.findknowdo.com/news/04/24/2013/senate-democrats-amicus-brief-sides-cftc-isda-v.-cftc2020-12-15T02:44Znever https://www.findknowdo.com/news/12/13/2013/senate-finance-committee-approves-nominees-irs-commissioner-deputy-treasury-secretary-and-itc-member2020-08-24T19:31Znever https://www.findknowdo.com/news/04/26/2013/senate-finance-committee-chairman-max-baucus-applauds-senate-confirmation-treasury-general-counsel2020-12-15T04:43Znever https://www.findknowdo.com/news/10/30/2013/senate-finance-committee-holds-hearing-ttip2020-08-24T19:31Znever https://www.findknowdo.com/news/11/20/2013/senate-finance-committee-holds-hearing-consider-treasury-and-trade-nominations2020-08-24T19:31Znever https://www.findknowdo.com/news/02/12/2013/senate-finance-committee-issues-press-release-rs-and-ds-intend-fight-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/07/09/2015/senate-finance-committee-releases-reports-tax-reform-working-groups2020-08-24T18:16Znever https://www.findknowdo.com/news/12/16/2014/senate-finance-committee-republicans-welcome-new-members2020-08-24T19:03Znever https://www.findknowdo.com/news/05/16/2013/senate-finance-committee-hold-hearing-trade-facilitation-and-trade-enforcement-act-20132020-08-24T19:43Znever https://www.findknowdo.com/news/07/16/2014/senate-finance-committee-hold-hearing-discuss-options-corporate-inversions-and-other-international-tax-issues2020-08-24T19:23Znever https://www.findknowdo.com/news/12/11/2013/senate-finance-committee-vote-treasury-irs-and-itc-nominees-friday2020-08-24T19:31Znever https://www.findknowdo.com/news/06/18/2014/senate-hearings-equity-market-issues2020-12-24T20:34Znever https://www.findknowdo.com/news/12/10/2013/senate-holds-hearing-consider-nomination-john-koskinen-irs-commissioner2020-08-24T19:31Znever https://www.findknowdo.com/news/07/16/2014/senate-homeland-security-and-government-affairs-permanent-subcommittee-investigations-announces-hearing-structured-financial-product-abuse2020-08-24T19:23Znever https://www.findknowdo.com/news/05/05/2015/senate-subcommittee-financial-services-and-general-government-holds-hearing-sec-and-cftc-fy-2016-budget-requests-%28-delta-strategy-group-summary%292020-09-18T01:55Znever https://www.findknowdo.com/news/11/19/2014/senate-subcommittee-investigations-releases-report-bank-involvement-physical-commodities2022-08-30T19:10Znever https://www.findknowdo.com/news/11/10/2014/senate-subcommittee-investigations-hold-hearing-bank-ownership-physical-commodities2022-08-30T19:10Znever https://www.findknowdo.com/news/06/10/2014/senate-subcommittee-investigations-hold-hearing-conflicts-interest-investor-loss-confidence-and-hft2020-12-03T02:22Znever https://www.findknowdo.com/news/07/31/2012/senate-testimony-bankruptcy-trustee-expects-recover-all-assets-mf-global2020-08-24T19:53Znever https://www.findknowdo.com/news/07/02/2014/senate-consider-customer-protection-and-end-user-relief-act2020-12-15T03:10Znever https://www.findknowdo.com/news/02/13/2013/senator-bob-casey-joins-senate-finance-committee-chairman-max-baucus-makes-statement2020-12-15T05:11Znever https://www.findknowdo.com/news/06/13/2014/senator-cochran-reminds-new-cftc-members-commitments-agriculture-sector2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2014/senator-crapo-submits-letters-sec-cftc-and-cfpb-regarding-review-outdated-regulations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2014/senator-introduces-bill-provide-tax-credit-cost-joining-cybersecurity-information-sharing-groups2021-03-20T16:47Znever https://www.findknowdo.com/news/05/07/2015/senator-proposes-bill-dissolve-too-big-fail-financial-institutions2020-12-15T06:45Znever https://www.findknowdo.com/news/08/11/2015/senator-questions-new-financial-communications-system-may-impact-compliance-and-enforcement-%28-lofchie-youtube-selection%292020-08-24T18:16Znever https://www.findknowdo.com/news/02/26/2015/senator-reproposes-bill-require-ny-fed-president-be-appointed-u.s.-president2020-12-15T04:40Znever https://www.findknowdo.com/news/05/12/2015/senator-richard-shelby-releases-draft-financial-regulatory-reform-bill-%28-lofchie-comment%292020-12-15T05:44Znever https://www.findknowdo.com/news/10/12/2012/senator-roberts-issues-critical-statement-cftc-rulemaking-process2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2014/senator-schumer-urges-regulators-revise-liquidity-coverage-ratio-rule-include-municipals-%28-lofchie-comment%292021-01-06T03:13Znever https://www.findknowdo.com/news/02/04/2014/senator-sends-letter-sec-requesting-action-regarding-current-initial-margin-regime-cds-portfolios2020-12-15T06:52Znever https://www.findknowdo.com/news/07/24/2015/senator-shelby-challenges-50-billion-threshold-determining-banks-be-systemic-importance2020-12-15T02:13Znever https://www.findknowdo.com/news/01/29/2013/senator-stabenow-calls-cftc-rules-be-finalized-highlights-importance-protecting-consumers-and-small-businesses-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2013/senator-stabenow-issues-statement-mf-global-settlement2020-08-24T19:46Znever https://www.findknowdo.com/news/06/17/2014/senator-urges-sec-stop-granting-waivers-securities-laws-certain-issuers-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/01/2014/senator-vitter-pushes-sipc-reimburse-victims-stanford-ponzi-scheme-%28-mcdonnell-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/16/2015/senator-warren-and-representative-cummings-push-information-swaps2021-01-06T01:51Znever https://www.findknowdo.com/news/01/30/2015/senator-warren-and-representative-cummings-request-information-banks-regarding-swaps-trading-practices2021-01-06T01:51Znever https://www.findknowdo.com/news/06/02/2015/senator-warren-lets-loose-sec-chair-white2020-12-15T02:53Znever https://www.findknowdo.com/news/06/29/2015/senator-wyden-introduces-bill-limit-offshore-reinsurance-hedge-funds2021-01-24T05:22Znever https://www.findknowdo.com/news/03/05/2015/senator-wyden-issues-report-tax-treatment-financial-products2020-08-24T19:00Znever https://www.findknowdo.com/news/08/22/2011/senators-leak-sparks-commodities-debate-%28news-story%292020-08-06T23:29Znever https://www.findknowdo.com/news/01/28/2015/senators-ask-sec-extend-duration-tick-size-pilot-program-%28-lofchie-comment%292020-09-05T18:23Znever https://www.findknowdo.com/news/12/08/2014/senators-crapo-and-johnson-send-letter-sec-chair-white-regarding-secs-equity-market-structure-review-%28-lofchie-comment%292020-12-03T11:45Znever https://www.findknowdo.com/news/05/08/2015/senators-introduce-legislation-aimed-frb-accountability-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/08/05/2014/senators-introduce-legislation-extend-margin-call-time-fcms2020-12-15T03:14Znever https://www.findknowdo.com/news/05/14/2015/senators-introduce-legislation-limit-frbs-lending-authority-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/06/30/2014/senators-introduce-legislation-require-cftc-eliminate-excessive-speculation-energy-markets2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2014/senators-levin-and-mccain-call-u.s.-halt-fatca-negotiations-russia2020-08-24T19:23Znever https://www.findknowdo.com/news/10/26/2012/senators-merkley-and-levin-call-final-rules-implementing-merkley-levin-provisions-dodd-frank-%28sometimes-known-volcker-rule%292020-12-15T02:47Znever https://www.findknowdo.com/news/08/07/2014/senators-send-letter-sec-objecting-state-preemption-reg.-offerings-%28-lofchie-comment-and-youtube-selection%292020-08-24T19:23Znever https://www.findknowdo.com/news/11/26/2013/senators-send-letter-white-house-regarding-cftc-commissioner-nominees-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/05/21/2013/senators-submit-letter-cftc-demanding-more-regulation-energy-swap-markets2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/03/2014/senators-submit-questions-fincen-aml-guidance-banks-seeking-service-marijuana-related-businesses2024-02-12T02:40Znever https://www.findknowdo.com/news/07/29/2013/senators-question-regulatory-officials-about-dodd-frank-implementation-status-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/02/10/2011/senators-urge-regulators-move-cautiously-derivatives-rules2020-12-15T06:23Znever https://www.findknowdo.com/news/11/11/2013/senior-german-political-leader-expresses-doubt-regarding-implementation-fft-germany2021-06-12T21:55Znever https://www.findknowdo.com/news/04/30/2015/senior-supervisor-group-issues-report-algorithmic-trading2021-06-21T20:15Znever https://www.findknowdo.com/news/07/11/2012/serious-fraud-office-investigate-libor-abuse2021-06-15T19:54Znever https://www.findknowdo.com/news/03/31/2011/serious-fraud-office-bribery-act-2010-joint-prosecution-guidance-director-serious-fraud-office-and-director-public-prosecutions2021-06-11T17:33Znever https://www.findknowdo.com/news/01/31/2011/settlement-sec-enforcement-action-former-broker-eugene-c.-geiger-concludes-market-manipulation-cases2020-12-16T21:54Znever https://www.findknowdo.com/news/03/07/2011/sfo-press-release-city-stockbroker-charged-fraud2021-06-11T19:24Znever https://www.findknowdo.com/news/03/22/2012/shadow-banking-green-paper2020-08-06T23:29Znever https://www.findknowdo.com/news/06/09/2014/sharon-bowen-sworn-a-cftc-commissioner2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/05/2011/short-sale-reporting-study-required-dodd-frank-section-417%28%29%282%292020-12-15T05:10Znever https://www.findknowdo.com/news/07/18/2012/short-selling-brothers-agree-pay-14.5-million-settle-sec-charges2020-12-15T06:50Znever https://www.findknowdo.com/news/10/03/2012/sifma-randy-snooks-remarks-msrb/sifma-muni-bond-summit-%28-link-cwt-memo-volcker-and-municipal-securities%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/18/2013/sifma-19%28d%29-application-order-setting-aside-rule-changes-certain-sros-limiting-access-their-services2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/14/2012/sifma-2013-and-2014-market-close-recommendations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/14/2013/sifma-acting-president-and-ceo-testifies-house-agriculture-commitee-dodd-frank-title-vii2020-09-28T15:14Znever https://www.findknowdo.com/news/05/19/2014/sifma-advocates-against-determination-asset-managers-are-systemically-significant2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/02/2012/sifma-amg-comment-letter-multiple-regulators-margin-requirements-uncleared-swaps-swap-dealers-and-major-swap-participants-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/02/2012/sifma-amg-comment-letter-cftc-proposed-clearing-determination-under-section-2%28h%29-cea-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/04/2013/sifma-amg-and-iaa-criticize-ofr-report-asset-management-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/12/12/2013/sifma-amg-and-isda-announced-cusips-are-available-mac-contracts2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/23/2013/sifma-amg-and-isda-request-extension-comment-period-proposed-rule-aggregation-positions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/20/2014/sifma-amg-and-other-associations-submit-petition-fsoc-rulemaking-related-supervision-and-regulation-non-sifis2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/24/2014/sifma-amg-and-association-institutional-investors-submit-letter-treasury-regarding-fsocs-conference-asset-management-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/20/2015/sifma-amg-calls-changes-mat-process-%28-lofchie-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/03/31/2015/sifma-amg-comments-benchmark-survey-financial-services-transactions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/24/2015/sifma-amg-expresses-concern-fsbs-peer-review-asset-management-industry-%28-lofchie-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/04/28/2014/sifma-amg-issues-statement-protesting-application-oral-recordkeeping-requirements-asset-managers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/05/2014/sifma-amg-objects-imposition-limits-paying-research-commissions-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/13/2015/sifma-amg-opposes-certain-requirements-secs-proposed-u.s.-personnel-rule-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/11/2014/sifma-amg-releases-survey-separate-accounts-impact-systemic-risk2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/19/2014/sifma-amg-requests-extension-deadline-mandatory-sef-execution-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/27/2013/sifma-amg-requests-interpretive-guidance-foreign-exchange-transactions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/10/2015/sifma-amg-responds-esa-regarding-margin-requirements-non-centrally-cleared-derivatives2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/16/2014/sifma-amg-submits-comments-ec-consultation-document-regarding-fx-financial-instruments2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/23/2014/sifma-amg-submits-comments-sec-memo-relating-money-market-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/06/2015/sifma-amg-submits-comments-regarding-esma-guidelines-application-c6-and-c7-mifid12026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/28/2014/sifma-amg-submits-comments-regarding-review-swap-data-recordkeeping-and-reporting-requirements-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/23/2013/sifma-amg-submits-comments-cftc-cross-border-phase-exemptive-order-and-final-interpretive-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/12/2015/sifma-amg-submits-comments-cftc-regarding-sef-regulatory-framework2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/22/2014/sifma-amg-submits-comments-cftc-requesting-extended-relief-regarding-execution-package-transactions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/02/2015/sifma-amg-submits-comments-european-commission-regarding-investment-research2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/05/2014/sifma-amg-submits-comments-fca-exclude-mortgage-tbas-definition-derivative-contracts-under-emir-%28-lofchie-comment%292021-01-13T20:40Znever https://www.findknowdo.com/news/09/10/2014/sifma-amg-submits-comments-iosco-response-consultation-report-cras-asset-management-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/02/2015/sifma-amg-submits-comments-multiple-u.s.-regulators-critical-fsb-ioscos-second-consultative-document-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/25/2014/sifma-amg-submits-comments-regulators-regarding-margin-and-capital-requirements-covered-swap-entities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/08/2015/sifma-amg-submits-comments-sec-about-asset-management-fund-stress-testing-rulemaking2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/02/2015/sifma-amg-submits-comments-sec-regarding-application-exemption2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/02/2013/sifma-amg-submits-comments-bcbc-and-iosco-margin-requirements-non-centrally-cleared-derivatives-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/13/2013/sifma-amg-submits-comments-cftc-proposed-rules-enhancing-customer-protections2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/25/2013/sifma-amg-submits-comments-cftc-sef-trading-requirements-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/15/2013/sifma-amg-submits-comments-cftc-requesting-no-action-relief-extending-compliance-date-3-reporting-obligations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/11/2013/sifma-amg-submits-comments-cftc-requesting-no-action-relief-respect-clearing-requirement-itraxx-cds-indices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/15/2013/sifma-amg-submits-comments-cftc-requesting-relief-external-business-conduct-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/15/2013/sifma-amg-submits-comments-cftc-requesting-relief-minimum-liquidation-time-non-commodity-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/07/2014/sifma-amg-submits-comments-fsb-and-sec-response-ofr-study-and-regard-separate-accounts2022-07-27T19:43Znever https://www.findknowdo.com/news/04/04/2014/sifma-amg-submits-comments-fsb-assessment-methodologies-identifying-non-bank-non-insurer-g-sifis2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/16/2014/sifma-amg-submits-comments-nfa-cpo-and-cta-capital-requirements-and-customer-protection-measures2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/13/2013/sifma-amg-submits-comments-sec-capital-margin-and-segregation-requirements-sbs-dealers-and-msbsps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/09/2014/sifma-amg-submits-critical-response-jac-alert-fcm-margin-policies2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/16/2014/sifma-amg-submits-letter-bcbs-net-stable-funding-ratio-and-treatment-equities-repos-and-corporate-debt-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2014/sifma-amg-submits-response-esma-discussion-paper-calculation-counterparty-risk-ucits-cleared-otc-derivatives2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/04/2014/sifma-amg-submits-supplemental-comments-cftc-regarding-aggregation-proposal-relating-position-limits2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/29/2015/sifma-amg-urges-regulators-stop-efforts-create-systemic-risk-methodology-asset-managers-and-funds-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/21/2014/sifma-amg-writes-frb-about-volcker-rule-interpretations-regarding-foreign-public-funds-and-foreign-non-covered-funds2026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/25/2015/sifma-amg-iaa-and-mfa-submit-responses-fsocs-request-comments-asset-management-products-and-activities-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/15/2013/sifma-amicus-brief-duty-underwriter-issuer2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/20/2013/sifma-amicus-brief-regarding-ubs-securities-litigation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/03/2011/sifma-and-afme-comments-iosco-dark-liquidity-report2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/19/2014/sifma-and-afme-issue-statement-transatlantic-financial-regulation-negotiations-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/13/2014/sifma-and-afme-jointly-commend-eu-commissioner-barnier-ttip2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/15/2013/sifma-and-afme-submit-comments-european-commission-recommending-goals-transatlantic-trade-and-investment-partnership2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/16/2012/sifma-and-asf-submit-comments-cftc-requesting-relief-legacy-structured-finance-transactions-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2014/sifma-and-fsi-submit-comments-virginia-scc-joint-legal-analysis-federal-preemption-state-law2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/29/2014/sifma-and-fsr-submit-additional-comments-sec-regarding-dissemination-asset-level-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/02/2014/sifma-and-fsr-submit-comments-banking-agencies-regarding-10-year-review-existing-regulations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/31/2014/sifma-and-fsr-submit-comments-sec-regarding-dissemination-asset-level-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/18/2012/sifma-and-fsr-submit-comments-cftc-amendments-implement-jobs-act2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/sifma-and-fsr-support-secs-jobs-act-rule-proposals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/29/2013/sifma-and-gfoa-submit-comments-regarding-proposal-amend-msrb-retail-order-periods-rules2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/18/2015/sifma-and-ici-submit-comments-sec-regarding-regulatory-initiatives-shorten-settlement-cycles2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/27/2012/sifma-and-ici-submit-comments-irs-requesting-competent-authority-assistance-under-u.s.-france-tax-convention2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/03/2014/sifma-and-industry-associations-submit-comment-letters-u.s.-regulators-liquidity-coverage-ratio2024-04-12T22:05Znever https://www.findknowdo.com/news/11/21/2013/sifma-and-isda-criticize-sefs-made-available-trade-submissions-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/12/2015/sifma-and-isda-submit-comments-cost-benefit-analysis-response-cftc-request2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/04/2013/sifma-and-isda-submit-comments-regarding-marketaxess-mat-determination-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/10/2014/sifma-and-isda-submit-comments-cftc-regarding-position-limits-derivatives-and-aggregation-positions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/05/2015/sifma-and-isda-submit-comments-sec-regarding-regulation-sbsr2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/08/2014/sifma-and-mba-submit-comments-regarding-gnma-proposal-combine-ginnie-mae-i-and-ii-programs2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/10/2012/sifma-and-netcoalition-submit-comments-sec-television-distribution-nyse-mkt-trade-data-product2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/22/2015/sifma-and-other-associations-ask-dol-extension-comment-period-conflict-interest-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/02/2015/sifma-and-other-associations-submit-comments-fsb-proposal-relating-total-loss-absorbency-requirement-g-sibs2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/21/2015/sifma-and-other-associations-submit-comments-house-representatives-cybersecurity2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/07/2012/sifma-and-other-associations-submit-comments-omb-and-nec-babs-sequestration-%28-wholly-non-substantive-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/25/2014/sifma-and-other-associations-submit-comments-sec-structure-mcdc2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/13/2013/sifma-and-other-associations-submit-comments-ec-enhanced-cooperation-agreement-financial-transaction-tax2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/13/2014/sifma-and-other-associations-submit-comments-treasury-and-irs-requesting-guidance-relating-upfront-payments-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/02/2015/sifma-and-other-associations-submit-letter-multiple-regulators-regarding-posting-margin-swaps-between-affiliates2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/03/2015/sifma-and-other-associations-support-senates-cybersecurity-information-sharing-act2021-03-20T16:47Znever https://www.findknowdo.com/news/01/31/2014/sifma-and-other-trade-associations-urge-congress-raise-debt-ceiling2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/16/2014/sifma-and-others-submit-supplemental-comments-federal-agencies-credit-risk-retention-rules2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/31/2013/sifma-and-tob-programs-submit-comments-federal-agencies-credit-risk-retention2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/22/2014/sifma-and-trade-groups-submit-letter-congress-urging-support-technical-corrections-dodd-frank2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/20/2013/sifma-announces-former-senator-judd-a.-gregg-new-ceo-and-appoints-kenneth-e.-bentsen-jr.-president2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/12/2013/sifma-announces-new-ceo2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/11/2014/sifma-announces-newly-elected-officers-its-board-directors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/13/2013/sifma-applauds-house-passage-cross-border-coordination-legislation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/06/2013/sifma-applauds-introduction-swaps-push-out-reform-legislation-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/28/2013/sifma-applauds-jacob-lew-confirmation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/12/2012/sifma-applauds-revised-sec-consolidated-audit-trail-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/31/2013/sifma-applications-order-setting-aside-rule-changes-limiting-access-market-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/19/2013/sifma-appoints-andy-blocker-evp-public-policy-and-advocacy2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/23/2015/sifma-asks-prudential-regulators-consider-cftcs-cross-border-margin-rule-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/26/2013/sifma-asks-treasury-delay-withholding-under-fatca2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/13/2013/sifma-board-directors-announces-newly-elected-officers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/01/2013/sifma-calls-review-sro-structure-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/02/2012/sifma-cautions-cftc-cross-border-guidance-%28sifma-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/17/2014/sifma-ceo-and-president-bentsen-delivers-remarks-cybersecurity-and-current-market-structure-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/16/2015/sifma-ceo-and-president-criticizes-dols-proposal-plan-investments2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/27/2013/sifma-ceo-bentsens-remarks-aml-and-financial-crimes-conference2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/28/2013/sifma-ceo-bentsens-remarks-future-global-financial-benchmarks-seminar2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/28/2013/sifma-ceo-releases-statement-proposed-foreign-financial-transaction-tax-legislation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/13/2014/sifma-challenges-nyse-fee-increases2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/11/2014/sifma-commends-finra-proposed-rule-regarding-definitions-non-public-and-public-arbitrator2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/05/2014/sifma-commends-nato-focus-cybersecurity2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/29/2012/sifma-commends-rep.-price-legislation-protecting-u.s.-securities-transactions-foreign-taxes-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/25/2013/sifma-commends-senators-planning-future-secondary-mortgage-market2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/10/2012/sifma-comment-letter-suggesting-a-do-over-volcker-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/19/2012/sifma-comment-letter-msrb-bond-ballot-campaign-committee-contributions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/30/2012/sifma-comment-letters-use-eminent-domain-restructure-performing-loans2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/17/2015/sifma-comments-final-and-temporary-treasury-regulations-broker-reporting-obligations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/29/2011/sifma-comments-finra-markup-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/31/2014/sifma-comments-finra-proposed-rule-margin-requirements-tbas2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/19/2013/sifma-comments-msrb-rules-requiring-underwriters-submit-529-college-savings-plans-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/19/2013/sifma-comments-msrbs-proposed-rule-changes-retail-order-periods2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/18/2013/sifma-comments-sec-mmf-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/20/2013/sifma-comments-bcbs-and-iosco-response-second-consultative-document-margin-requirements-non-centrally-cleared-derivatives2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/24/2013/sifma-comments-final-provisions-foreign-account-tax-compliance-act2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/21/2013/sifma-comments-finra-requiring-hyperlinks-brokercheck-internet2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/03/2013/sifma-comments-u.s.-senate-agriculture-committee-derivatives-dodd-frank-and-cftc-reauthorization2020-08-06T23:33Znever https://www.findknowdo.com/news/08/08/2013/sifma-criticizes-consolidated-tape-association-fee-plan2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/23/2013/sifma-criticizes-decision-move-forward-request-proposal-creation-consolidated-audit-trail-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/21/2015/sifma-criticizes-federal-reserve-capital-surcharge-rule2026-04-15T21:22Zyearly https://www.findknowdo.com/news/03/19/2013/sifma-criticizes-finras-proposed-rule-change-accelerate-trade-reporting-otc-equity-transactions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/19/2015/sifma-criticizes-municipal-securities-market-disclosure-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/11/2015/sifma-encourages-lawmakers-vote-cisa2026-04-15T21:22Zyearly https://www.findknowdo.com/news/04/11/2014/sifma-encourages-u.s.-regulators-adopt-and-use-legal-entity-identifiers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/31/2012/sifma-evp-ken-bentsen-debates-whether-volcker-rule-can-be-one-size-fits-all-basis-%28video%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/18/2014/sifma-executive-vice-president-snook-delivers-remarks-regarding-cybersecurity2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/30/2014/sifma-executive-vice-president-snook-delivers-remarks-regarding-listed-options2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/17/2012/sifma-expresses-concerns-regarding-a-proposed-fee-increase-municipal-issues2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/13/2015/sifma-expresses-concerns-regarding-implementation-msrb-rule-g-452026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/01/2014/sifma-expresses-serious-concerns-regarding-finra-cards-rule-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/28/2015/sifma-files-amicus-brief-antitrust-case-involving-libor-based-manipulation2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/03/2013/sifma-files-brief-opposing-rate-increases-market-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/07/2014/sifma-finalizes-model-documents-compliance-municipal-advisor-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/08/2013/sifma-issues-2012-year-review2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/23/2013/sifma-issues-2014-and-2015-recommendations-full-and-early-holiday-closes-fixed-income-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/15/2015/sifma-issues-2014-year-review2021-01-13T20:54Znever https://www.findknowdo.com/news/07/28/2014/sifma-issues-guidance-small-firms-cybersecurity2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/24/2014/sifma-issues-guidance-rule-506%28c%29-verification2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/30/2013/sifma-issues-letter-describing-internal-processes-and-resources-proxy-operations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/25/2013/sifma-issues-market-close-recommendations-thanksgiving-holiday2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/22/2014/sifma-issues-statement-cybersecurity-legislation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/28/2014/sifma-issues-statement-dol-fiduciary-rule-delay2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/09/2015/sifma-issues-statement-regarding-joint-conference-cybersecurity2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/03/2014/sifma-issues-statement-regarding-municipal-bond-provisions-house-tax-reform-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/23/2015/sifma-issues-white-paper-unclaimed-property-compliance-obligations-%28escheat%29-and-challenges-broker-dealers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/10/2012/sifma-joint-letter-opposing-use-eminent-domain2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/07/2013/sifma-launches-initiative-enhance-partnership-individual-investors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/04/2013/sifma-letter-proposal-amend-rule-1000-%28-barrentine-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/22/2012/sifma-letter-cftc-regarding-potential-applicability-commodity-pool-regulation-securitization-transactions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/04/2012/sifma-letter-fhfa-building-a-new-infrastructure-secondary-mortgage-market2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/11/2012/sifma-letter-finra-says-trace-good2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/22/2013/sifma-letter-sec-proposed-capital-margin-and-segregation-rules-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/21/2012/sifma-letter-msrb-online-municipal-securities-trades-retail-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/09/2014/sifma-managing-director-and-associate-general-counsel-discusses-municipal-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/14/2013/sifma-managing-director-testifies-a-minnesota-legislative-panel-proposed-taxes-sale-financial-services2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/18/2012/sifma-memo-questions-legality-california-eminent-domain-proposal-%28sifma-release%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/18/2012/sifma-municipal-bond-summit2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/20/2014/sifma-objects-increase-market-data-fees2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/21/2014/sifma-objects-finra-proposal-regarding-cards-concept-proposal-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/20/2015/sifma-offers-views-tax-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/22/2013/sifma-marketplace-fairness-act2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/20/2015/sifma-opposes-dols-proposed-retirement-regulation2026-04-15T21:22Zyearly https://www.findknowdo.com/news/10/10/2012/sifma-opposes-nasdaqs-benchmark-orders-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/10/2012/sifma-opposes-proposal-adopt-a-retail-price-improvement-program2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/10/2015/sifma-opposes-proposed-requirement-certain-individuals-take-msrb-series-50-examination2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/05/2013/sifma-pamphlet-role-a-municipal-securities-brokers-broker-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/30/2013/sifma-petitions-and-petitions-and-petitions-and-petitions-sec-disapprove-nyses-new-fees2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/22/2014/sifma-petitions-disapproval-proposed-bats-exchange-fees-market-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/28/2014/sifma-petitions-disapproval-nyse-proposed-rule-establish-market-data-product2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/10/2013/sifma-petitions-sec-disapprove-nyses-new-fees-options-market-data-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/21/2014/sifma-president-and-ceo-speaks-eu-regulatory-symposium2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/08/2013/sifma-president-and-ceo-tim-ryan-leave-association2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/07/2013/sifma-president-bentsen-takes-a-side-cross-border-conflict-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/31/2014/sifma-president-bentsen-urges-review-equity-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/08/2015/sifma-president-criticizes-imfs-financial-system-stability-assessment-targets-asset-management-industry2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/07/2015/sifma-president-randy-snook-advocates-improvements-equity-market-structure2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/10/2013/sifma-president-weighs-debt-ceiling-debate2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/26/2013/sifma-proposes-execution-diligence-standard-munis-trading-%28-lofchie-comment%292021-01-13T20:54Znever https://www.findknowdo.com/news/06/03/2015/sifma-proposes-best-interests-standard-broker-dealers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/23/2015/sifma-proposes-extended-comment-period-overtime-pay-rulemaking-proposal2026-04-15T21:22Zyearly https://www.findknowdo.com/news/10/13/2014/sifma-provides-response-fhfa-request-input-proposed-single-security-structure2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/08/2015/sifma-publishes-sophisticated-municipal-market-professional-affirmation-institutional-customers2022-11-20T16:02Znever https://www.findknowdo.com/news/10/20/2014/sifma-publishes-recommendations-cybersecurity-regulatory-guidance2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/28/2013/sifma-publishes-recommendations-creation-a-consolidated-audit-trail-%28-barrentine-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/14/2014/sifma-publishes-recommendations-enhance-u.s.-equity-market-structure-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/10/2015/sifma-raises-concerns-about-complexity-and-proposed-fiduciary-rule2026-04-15T21:22Zyearly https://www.findknowdo.com/news/03/31/2015/sifma-raises-concerns-about-fatca-faq-regarding-new-account-self-certification2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/13/2014/sifma-recommendations-a-market-close-u.s.-mlk-day-u.s.-uk-and-japan2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/28/2015/sifma-recommends-changes-proposal-improve-capital-treatment-munis2026-04-15T21:22Zyearly https://www.findknowdo.com/news/12/29/2014/sifma-recommends-market-close-new-years-day-u.s.-uk-and-japan2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/14/2015/sifma-recommends-modifications-sec-proposed-rules-investment-company-reporting-modernization2026-04-15T21:22Zyearly https://www.findknowdo.com/news/08/07/2015/sifma-recommends-modifications-sec-proposed-rules-security-based-swap-dealers-%28-lofchie-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/01/15/2014/sifma-releases-2013-year-review-report2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/19/2012/sifma-releases-guidance-help-municipal-underwriters-comply-new-disclosure-requirements2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/13/2012/sifma-request-guidance-applicability-commodity-pool-regulation-insurance-linked-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/24/2015/sifma-requests-50-de-minimis-threshold-form-1099-correction-reporting-%28-asamoto-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/09/2013/sifma-requests-extension-comment-period-sec-proposal-capital-margin-and-segregation-requirements-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/10/2015/sifma-requests-guidance-electronically-accessed-tax-documents2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/15/2013/sifma-responds-finra-proposed-rule-change-rule-8313-%28-proposal%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/01/2013/sifma-responds-finras-supervision-rule-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/07/2014/sifma-says-asset-managers-do-not-pose-systemic-risk-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/23/2015/sifma-sends-letter-sec-chair-white-placement-agent-activities-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/24/2013/sifma-statement-san-bernardino-county-jpa-meeting2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/26/2013/sifma-statement-brown-vitter-too-big-fail-legislation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/16/2012/sifma-statement-jpas-proposed-use-eminent-domain-take-mortgage-loans-%28sifma-release%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/02/2013/sifma-statement-nomination-rep.-mel-watt-head-fhfa-and-opposition-use-emiment-domain2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/11/2013/sifma-statement-u.s.-china-bilateral-investment-treaty2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/19/2013/sifma-study-role-banks-physical-commodities-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/03/2015/sifma-submits-additional-comments-regarding-proposed-changes-msrb-rule-g-422026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/26/2012/sifma-submits-additional-comments-sec-temporary-exemptions-uncleared-security-based-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/02/2014/sifma-submits-amicus-brief-cohen-v.-ubs-financial-services2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/08/2013/sifma-submits-amicus-brief-mbia-v.-countrywide2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/21/2013/sifma-submits-amicus-brief-u.s.-court-appeals-blmis-case2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/25/2013/sifma-submits-amicus-brief-u.s.-court-appeals-countrywide-financial-case2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/20/2014/sifma-submits-amicus-brief-u.s.-court-appeals-household-international-case2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/10/2013/sifma-submits-amicus-brief-slusa2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/23/2015/sifma-submits-brief-supporting-finality-substantially-consummated-chapter-9-plan2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/15/2013/sifma-submits-comment-favor-amendment-phlxs-catastrophic-error-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/15/2014/sifma-submits-comment-letter-federal-banking-agencies-basel-iii-lcr-rule-regarding-treatment-municipal-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/09/2013/sifma-submits-comment-letter-house-congressional-leadership-regarding-swaps-push-out-bill-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/23/2013/sifma-submits-comment-letter-msrb-regarding-consolidated-registration-requirements2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/05/2015/sifma-submits-comment-letter-sec-regarding-msrb-professional-qualification-requirements-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/10/2014/sifma-submits-comment-letter-cboe-criticizing-new-requirements-imposed-cboe-trading-permit-holders2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/16/2013/sifma-submits-comment-letters-regarding-proposed-transatlantic-trade-and-investment-partnership-%28ttip%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/22/2014/sifma-submits-comment-letters-sec-occ-proposed-rule-changes2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/25/2013/sifma-submits-comments-and-a-petition-disapproval-sec-a-proposal-extend-fee-pilot-program-nasdaq-last-sale2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/07/2013/sifma-submits-comments-and-petition-disapproval-proposal-extend-a-fee-pilot-program-nasdaq-last-sale2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/13/2014/sifma-submits-comments-support-restoring-proven-financing-american-employers-act2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/27/2014/sifma-submits-comments-and-recommendations-2014-priorities-cat-development-advisory-group2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/04/2013/sifma-submits-comments-cost-basis-reporting-and-basis-determination2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/30/2013/sifma-submits-comments-credit-risk-retention-proposed-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/12/2013/sifma-submits-comments-disclosure-suitability-sophisticated-municipal-market-professionals2022-11-20T16:02Znever https://www.findknowdo.com/news/03/09/2015/sifma-submits-comments-finra-proposal-amend-oats2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/14/2015/sifma-submits-comments-finras-proposal-disseminate-trace-data-additional-securitized-products2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/23/2014/sifma-submits-comments-finras-proposed-pay-play-rules2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/25/2014/sifma-submits-comments-finra-proposed-rule-regarding-definitions-non-public-and-public-arbitrator2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/27/2012/sifma-submits-comments-margin-requirements-covered-swap-entities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/13/2014/sifma-submits-comments-margin-requirements-non-centrally-cleared-swaps-and-security-based-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/07/2014/sifma-submits-comments-nms-plan-consolidated-audit-trail2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/20/2015/sifma-submits-comments-opposing-nyses-proposed-midday-auction2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/20/2012/sifma-submits-comments-opposing-use-eminent-domain-seize-mortgage-loans2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/05/2015/sifma-submits-comments-regarding-bats-regulation-nms-amendments2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/16/2013/sifma-submits-comments-regarding-cboe-proposed-rule-amend-option-stock-orders2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/18/2013/sifma-submits-comments-regarding-ffi-guidance-notice-2013-692026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/23/2014/sifma-submits-comments-regarding-finra-retrospective-rule-review-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/18/2013/sifma-submits-comments-regarding-finra-proposed-rule-relating-trace-reporting-asset-backed-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/17/2013/sifma-submits-comments-regarding-government-diversity-standards2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/22/2014/sifma-submits-comments-regarding-msrb-proposed-supervision-rules-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/07/2014/sifma-submits-comments-regarding-nyses-proposed-institutional-liquidity-program2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/11/2013/sifma-submits-comments-regarding-sec-broker-dealer-fiduciary-duty-recommendations-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/20/2014/sifma-submits-comments-all-u.s.-options-exchanges-response-proposed-permanent-penny-program-us-options-exchanges2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/14/2014/sifma-submits-comments-cftc-requesting-no-action-relief-relating-sef-confirmations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/14/2014/sifma-submits-comments-esma-draft-rts-information-structured-finance-instruments2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/09/2014/sifma-submits-comments-federal-reserve-regarding-proposed-rules-concentration-limits-large-financial-companies2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/08/2014/sifma-submits-comments-fhfa-guarantee-fees2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/20/2015/sifma-submits-comments-finra-and-msrb-matched-trade-proposals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/05/2013/sifma-submits-comments-finra-disclosures-relating-recruitment-compensation-practices2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/02/2013/sifma-submits-comments-finra-finras-markup-proposal2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/17/2014/sifma-submits-comments-finra-regarding-revised-proposal-require-a-hyperlink-brokercheck2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/22/2014/sifma-submits-comments-irs-and-treasury-application-pfic-shareholder-reporting-requirements-securities-dealers2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/16/2013/sifma-submits-comments-irs-definition-issue-price-tax-exempt-bonds2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/02/2015/sifma-submits-comments-irs-qualified-intermediary-agreement-related-fatca2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/11/2014/sifma-submits-comments-msrb-duties-non-solicitor-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/29/2014/sifma-submits-comments-msrb-enhancements-post-trade-municipal-securities-transaction-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/26/2014/sifma-submits-comments-msrb-revised-proposal-regarding-duties-non-solicitor-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/09/2014/sifma-submits-comments-msrb-rule-g-20-relating-gifts-and-non-cash-compensation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/19/2014/sifma-submits-comments-msrb-regarding-proposal-establishing-professional-qualification-requirements-municipal-advisors2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/sifma-submits-comments-multiple-federal-agencies-treatment-unrealized-gains-and-losses-u.s.-municipal-debt-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/sifma-submits-comments-multiple-federal-regulators-proposed-cva-capital-requirements2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/sifma-submits-comments-multiple-federal-regulators-treatment-exposures-public-sector-entities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/11/2013/sifma-submits-comments-new-york-governor-andrew-cuomo-corporate-tax-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/06/2013/sifma-submits-comments-nyse-euronext-trade-data-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/02/2014/sifma-submits-comments-omwi-directors-requesting-interagency-coordination-establishing-standards-under-dodd-frank2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/11/2014/sifma-submits-comments-sec-draft-strategic-plan-fy2014-fy20182026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/18/2013/sifma-submits-comments-sec-electronic-transmission-proxy-material2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/17/2014/sifma-submits-comments-sec-extending-sunset-date-advisers-act-temporary-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/20/2015/sifma-submits-comments-sec-improving-liquidity-fixed-income-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/21/2015/sifma-submits-comments-sec-msrb-proposal-regarding-post-trade-reporting-and-transparency-procedures2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/22/2014/sifma-submits-comments-sec-new-msrb-rule-a-11-establishing-fees-municipal-advisor-professionals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/14/2014/sifma-submits-comments-sec-proposed-finra-rule-regarding-prohibited-conditions-relating-expungement-customer-dispute-information2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/09/2015/sifma-submits-comments-sec-proposed-nms-plan-implement-tick-size-pilot-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/10/2014/sifma-submits-comments-sec-recordkeeping-and-reporting-proposal-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/15/2014/sifma-submits-comments-sec-removal-ratings-and-diversification-requirements-money-market-funds2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/30/2015/sifma-submits-comments-sec-revised-exchange-act-rule-relating-municipal-disclosure2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/27/2014/sifma-submits-comments-sec-two-finra-proposals-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/29/2014/sifma-submits-comments-sec-regarding-msrbs-best-execution-rule-proposal-and-changes-smmp2022-11-20T16:02Znever https://www.findknowdo.com/news/07/15/2014/sifma-submits-comments-sec-regarding-msrbs-proposed-amendments-rules-g-3-g-7-and-g-272026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/18/2014/sifma-submits-comments-sec-regarding-msrb-proposed-amendments-continuing-education-requirements2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/05/2013/sifma-submits-comments-sec-regarding-sips-and-operational-resiliency2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/23/2015/sifma-submits-comments-sec-relating-occs-proposed-capital-plan2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/01/2012/sifma-submits-comments-bcbs-and-iosco-consultative-document-margin-requirements-non-centrally-cleared-derivatives2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/11/2013/sifma-submits-comments-cftc-requesting-extension-no-action-relief-cpo-registration-%28-links-relevant-cftc-letters%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/08/2013/sifma-submits-comments-cftc-cmes-chapter-10-proposal2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/01/2013/sifma-submits-comments-cftc-requesting-additional-relief-requirements-under-internal-business-conduct-rule-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/06/2012/sifma-submits-comments-cftc-requesting-relief-external-business-conduct-requirements-and-other-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/29/2013/sifma-submits-comments-colorado-senate-labor-committee-social-media-legislation2020-12-03T20:28Znever https://www.findknowdo.com/news/05/15/2014/sifma-submits-comments-consumer-financial-protection-bureau-privacy-notice-requirement-under-gramm-leach-bliley-act2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/26/2012/sifma-submits-comments-department-treasury-and-irs-requesting-extension-obligations-grandfathered-under-fatca2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/23/2013/sifma-submits-comments-ec-emir-reporting-obligation-application-buy-side2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/15/2013/sifma-submits-comments-ffiec-social-media-consumer-compliance-risk-management-guidance2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/25/2013/sifma-submits-comments-fincen-special-measures-certain-institutions-primary-money-laundering-concerns2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/09/2012/sifma-submits-comments-french-minister-finance-french-financial-transaction-tax2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/15/2013/sifma-submits-comments-fsb-fsbs-consultative-document-related-policy-recommendations-money-market-funds2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/15/2013/sifma-submits-comments-fsoc-recommendations-money-market-fund-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/13/2012/sifma-submits-comments-gao-gaos-study-custody-rule-costs2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/01/2013/sifma-submits-comments-italian-regulators-implementation-italian-tax-within-u.s.-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/19/2013/sifma-submits-comments-msrb-a-new-central-transparency-platform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/14/2012/sifma-submits-comments-msrb-bondholder-consents2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2013/sifma-submits-comments-msrb-codifying-time-trade-disclosure-obligation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/17/2012/sifma-submits-comments-msrb-collecting-529-college-savings-plan-data2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/19/2013/sifma-submits-comments-msrb-msrbs-review-rules-and-interpretive-guidance2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/05/2012/sifma-submits-comments-msrb-retail-order-periods2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/21/2012/sifma-submits-comments-msrb-underwriters-submitting-529-college-savings-plan-information2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/08/2013/sifma-submits-comments-msrb-underwriters-submitting-preliminary-official-statements-emma2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/13/2014/sifma-submits-comments-msrb-regarding-proposed-best-execution-rule-%28-lofchie-comment%292024-01-30T02:53Znever https://www.findknowdo.com/news/03/26/2013/sifma-submits-comments-rhode-island-state-senate-majority-leader-and-judiciary-committee-social-media-legislation2020-12-03T20:28Znever https://www.findknowdo.com/news/03/07/2013/sifma-submits-comments-sec-a-cboe-proposal-allow-mini-options-trade-same-pricing-increments-standard-options2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2014/sifma-submits-comments-sec-a-single-general-rule-prices-and-remuneration2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/17/2014/sifma-submits-comments-sec-finras-proposal-disclosure-and-reporting-obligations-related-recruitment-practices2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/27/2014/sifma-submits-comments-sec-finras-proposed-rule-change-relating-share-estimated-valuations-unlisted-dpp-and-reit-securities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/08/2013/sifma-submits-comments-sec-instituting-liquidity-deposits-increase-liquidity-resources2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/25/2013/sifma-submits-comments-sec-instituting-supplemental-liquidity-deposits-national-securities-clearing-corporations-clearing-fund2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2013/sifma-submits-comments-sec-retail-orders-retail-liquidity-program-and-retail-member-organizations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/10/2014/sifma-submits-comments-sec-ise-proposed-rule-change-amend-ise-rule-722-regarding-order-types2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/04/2012/sifma-submits-comments-sec-msrb-proposal-regarding-large-size-trade-reporting2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/01/2013/sifma-submits-comments-sec-nasdaq-utp-plan-fee-increase2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/23/2013/sifma-submits-comments-sec-nyses-requests-regarding-options-regulatory-fees2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/17/2014/sifma-submits-comments-sec-occs-clearing-fee-schedule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2014/sifma-submits-comments-sec-unlisted-dpps-and-reits-customer-account-statements2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2013/sifma-submits-comments-sec-recommending-disapproval-a-new-order-type-auto-ex-only2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/20/2012/sifma-submits-comments-sec-requesting-extension-secs-exemptive-order-and-security-based-swaps-interim-final-rules-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/11/2013/sifma-submits-comments-sros-and-exchanges-selected-consolidated-audit-trail-%28cat%29-nms-plan-topics2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/04/2013/sifma-submits-comments-u.s.-secretary-treasury-upcoming-meetings-european-finance-officials2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/05/2012/sifma-submits-comments-u.s.-trade-representative-promoting-u.s.-ec-regulatory-compatibility-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/08/2014/sifma-submits-comments-treasury-development-a-responsible-private-label-securities-market2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/17/2014/sifma-submits-comments-u.s.-treasury-and-irs-requesting-fatca-transitional-relief2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/10/2015/sifma-submits-comments-united-states-trade-representative-regarding-ttip-and-financial-services-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/08/2013/sifma-submits-cost-estimates-sec-fiduciary-rulemaking-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/16/2014/sifma-submits-letter-requesting-further-relief-prior-written-consent-requirement-sweep-program-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/06/2014/sifma-submits-letter-ambassador-gardner-ttip-and-financial-services-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/09/2014/sifma-submits-letter-frb-regarding-extension-volcker-rule-conformance-period2026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/15/2014/sifma-submits-letter-sec-requesting-further-relief-prior-written-consent-requirement-sweep-program2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/29/2015/sifma-submits-letter-u.s.-senators-support-elder-abuse-victims-act2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/25/2013/sifma-submits-reply-brief-sec-regarding-procedures-be-adopted-nyse-proceedings2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/23/2014/sifma-submits-response-msrb-request-input-strategic-priorities2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/04/2013/sifma-submits-supplemental-comments-final-fatca-regulations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/01/2013/sifma-submits-supplemental-comments-finra-rule-83132026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/01/2014/sifma-submits-supplemental-comments-finra-proposal-develop-cards2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/05/2013/sifma-submits-written-testimony-ustr-supporting-international-services-agreement-negotiations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/24/2013/sifma-supports-congressional-action-cyber-security2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/06/2013/sifma-supports-extending-nyse-penny-trading-program2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/15/2015/sifma-supports-finras-proposal-establish-registration-categories-securities-traders-and-securities-trader-principals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/17/2015/sifma-supports-finras-proposal-restructure-representative-level-qualification-examination-program2026-04-15T21:22Zyearly https://www.findknowdo.com/news/07/16/2015/sifma-supports-finras-proposed-amendments-rules-governing-communications-public2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/15/2015/sifma-supports-finra-proposed-rule-educational-communication-customers-transferring-representatives2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/04/2015/sifma-supports-move-america-act-20152026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/16/2014/sifma-supports-move-shorten-settlement-cycle2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/24/2015/sifma-supports-nyse/nasdaq-framework-closing-auctions2026-04-15T21:22Zyearly https://www.findknowdo.com/news/07/15/2015/sifma-supports-proposal-provide-web-based-delivery-regulatory-element-continuing-education-requirement2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/04/2013/sifma-supports-secs-request-information-fiduciary-duty2026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/15/2014/sifma-survey-finds-investors-are-opposed-finras-cards-proposal-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/10/2012/sifma-testifies-impact-dodd-frank-act-credit2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/20/2012/sifma-testifies-dodd-frank-acts-impact-municipal-finance2026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/12/2012/sifma-testifies-impact-qualified-mortgage-definition2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/06/2013/sifma-testimony-examining-regulatory-impediments-private-investment-capital-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/15/2014/sifma-nasdaq-utp-plan-operating-committee-selection-process-nasdaq-sip-highly-flawed2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/18/2014/sifma-urges-congress-extend-expired-tax-provisions2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/11/2014/sifma-urges-congress-support-small-cap-liquidity-reform-act-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/26/2015/sifma-urges-finra-modify-proposed-timeframe-aggregating-and-publishing-otc-volume-information2026-04-15T21:22Zyearly https://www.findknowdo.com/news/07/14/2015/sifma-urges-msrb-revise-its-rule-a-3-regarding-membership-board2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/10/2015/sifma-urges-passage-senate-cybersecurity-legislation2021-03-20T16:47Znever https://www.findknowdo.com/news/06/19/2014/sifma-v.-cftc-cross-border-guidance-case-reassigned-new-judge2021-01-20T13:54Znever https://www.findknowdo.com/news/03/03/2015/sifma-vice-president-and-general-counsel-speaks-about-importance-compliance2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/12/2015/sifma-vice-president-randy-snook-advocates-improvements-fixed-income-market-structure-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/14/2014/sifma-vice-president-snook-discusses-best-path-forward-equity-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/29/2014/sifma-vice-president-snook-discusses-operational-efficiency-and-resiliency-financial-industry2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/28/2015/sifma-vp-discusses-labor-proposal-and-cybersecurity-efforts2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/21/2015/sifma-wants-bigger-role-federal-housing-finance-agency-structure-single-security2026-04-15T21:22Zyearly https://www.findknowdo.com/news/07/15/2013/sifma-welcomes-eu-commissioner-barniers-comments-transatlantic-trade2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/12/2013/sifma-welcomes-occs-two-year-relief-swap-push-out-effective-date2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/15/2013/sifma-welcomes-reps.-stivers-moore-legislation-muni-advisor-definition2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/16/2013/sifma-white-paper-tax-reform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/01/2013/sifma-white-paper-considerations-regarding-voluntary-disclosure-about-bank-loans-%28and-whether-certain-bank-loans-are-securities%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/12/2013/sifma-white-paper-evolving-role-compliance-%28-barrentine-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/12/08/2014/sifma-writes-letter-ustr-importance-comprehensive-ttip-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/29/2014/sifma-writes-treasury-secretary-lew-about-importance-including-financial-services-ttip-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/13/2014/sifma-writes-volcker-regulators-describe-tender-option-bond-joint-venture-structure-under-volcker-rule-%28-stromfeld-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/18/2013/sifmas-karl-schimmeck-releases-statement-quantum-dawn-2-cybersecurity-exercise2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/18/2013/sifmas-randy-snook-delivers-speech-technology-and-dodd-frank-implementation2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/sifma-aba-and-fsr-comment-letter-federal-agencies-proposals-revise-regulatory-capital-framework-u.s.-banking-organizations2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2013/sifma-aba-and-fsr-submit-comments-u.s.-federal-regulators-proposed-leverage-ratio-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/06/2015/sifma-clearing-house-association-and-fsr-submit-comments-frb-gsib-surcharge-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/11/2014/sifma-fia-and-fsr-submit-comments-cftc-regulation-swaps-between-non-u.s.-sds-and-non-u.s.-counterparties2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/22/2013/sifma-fia-and-fsr-submit-joint-comments-sec-regarding-cross-border-proposal-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/07/28/2014/sifma-iib-submit-amicus-briefs-motorola-credit-corporation-v.-standard-chartered-bank-case2021-01-20T13:55Znever https://www.findknowdo.com/news/02/20/2014/sifma-sifma-amg-and-isda-submit-comments-cftc-proposed-position-limits-rules-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/14/2014/sifma-aba-and-other-associations-submit-comments-omb-requirements-reg.-408%28b%29%282%29-guide2026-04-15T21:23Zyearly https://www.findknowdo.com/news/08/16/2012/sifma/netcoalition-comment-letter-regarding-rule-change-establish-managed-data-solution-phlx-top-options2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/27/2013/sifma-matt-nevins-joins-managing-director2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/29/2013/sigtarp-report-treasury-continues-approving-excessive-pay-top-executives-bailed-out-companies-%28-lofchie-comment%292021-06-14T16:00Znever https://www.findknowdo.com/news/06/12/2013/simfa-suggests-further-revisions-msrbs-initial-proposed-sophisticated-municipal-market-professional-rules2022-11-20T16:02Znever https://www.findknowdo.com/news/09/23/2014/singapore-issues-draft-regulations-and-interpretive-guidance-under-fatca-iga2021-06-23T01:28Znever https://www.findknowdo.com/news/05/16/2013/singapore-enter-model-1-fatca-iga2020-08-24T19:43Znever https://www.findknowdo.com/news/05/06/2014/singapore-kuwait-and-three-other-countries-agree-substance-fatca-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/11/30/2011/sipc-trustee-press-release-regarding-motion-third-bulk-transfer-%28press-release-brief-proposed-order%292020-08-06T23:33Znever https://www.findknowdo.com/news/07/31/2012/six-sanctioned-insider-dealing2020-08-06T23:33Znever https://www.findknowdo.com/news/01/28/2014/slovenia-agrees-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/06/05/2014/slovenia-signs-fatca-iga-turkey-agrees-substance-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/02/01/2011/small-bank-asset-thresholds-regulatory-revision2021-06-11T17:09Znever https://www.findknowdo.com/news/04/11/2013/small-entity-compliance-guide-ability-repay-and-qualified-mortgage-rule2020-12-15T03:34Znever https://www.findknowdo.com/news/06/01/2012/smart-regulatory-reform-and-perils-high-frequency-regulation-remarks-cftc-commissioner-scott-d.-omalia-markitservs-2012-outlook-otc-markets2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/30/2014/smith-wesson-fcpa-settlement-highlights-dangers-entering-high-risk-markets2020-12-15T04:52Znever https://www.findknowdo.com/news/07/02/2013/so-thats-how-they-paid-such-nice-wedding2020-12-15T04:03Znever https://www.findknowdo.com/news/04/29/2015/social-media-companys-shares-drop-after-earning-reports-premature-release-%28-clearfield-comment%292020-12-03T20:28Znever https://www.findknowdo.com/news/08/24/2011/social-media-websites-and-use-personal-devices-business-communications-%28notice%29-regulatory-notice-11-392024-04-12T14:59Znever https://www.findknowdo.com/news/01/25/2013/sommers-exits-stage-right-%28-energy-metro-desk%292020-08-24T19:46Znever https://www.findknowdo.com/news/02/04/2013/spain-lifts-short-selling-ban2020-08-06T23:33Znever https://www.findknowdo.com/news/10/11/2012/speculation-rule-called-waste-republican-representatives-letter-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/27/2012/speculators-and-commodity-prices-redux-%28speech%292020-12-15T06:45Znever https://www.findknowdo.com/news/02/09/2011/speech-chairman-bernanke-economic-outlook-and-macroeconomic-policy-national-press-club-washington-d.c.2020-08-06T23:33Znever https://www.findknowdo.com/news/02/08/2011/speech-finra-ceo-rick-ketchum2020-08-06T23:33Znever https://www.findknowdo.com/news/02/07/2011/speech-sec-chairman-mary-l.-schapiro-evolving-meet-needs-investors2020-12-03T01:33Znever https://www.findknowdo.com/news/02/07/2011/speech-sec-commissioner-elisse-b.-walter2020-08-06T23:33Znever https://www.findknowdo.com/news/02/07/2011/speech-sec-commissioner-kathleen-l.-casey2020-08-06T23:33Znever https://www.findknowdo.com/news/02/07/2011/speech-sec-commissioner-luis-aguilar-setting-forth-aspirations-20112020-12-15T06:47Znever https://www.findknowdo.com/news/02/07/2011/speech-sec-commissioner-troy-.-paredes2020-08-06T23:33Znever https://www.findknowdo.com/news/11/07/2011/speech-cftc-commissioner-bart-chilton-society-independent-gasoline-marketers-america-annual-meeting-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/05/2011/speech-commissioner-bart-chilton-university-chicago2020-12-15T04:54Znever https://www.findknowdo.com/news/03/28/2011/spot-check-reverse-exchangeable-securities-advertising-and-sales-literature2022-04-30T03:28Znever https://www.findknowdo.com/news/08/01/2012/sro-fee-changes-are-immediately-effective2020-08-06T23:33Znever https://www.findknowdo.com/news/11/01/2012/sro-research-rules-changed-conform-jobs-act2020-12-15T06:42Znever https://www.findknowdo.com/news/09/19/2012/sro-rule-changes2021-06-11T21:44Znever https://www.findknowdo.com/news/07/31/2012/sro-trading-rule-changes-are-immediately-effective2020-08-06T23:33Znever https://www.findknowdo.com/news/11/12/2013/sros-agree-preliminary-recommendations-strengthen-critical-market-infrastructure-%28-clearfield-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/07/03/2014/sros-launch-study-analyze-implementation-cost-cat2021-06-17T15:17Znever https://www.findknowdo.com/news/06/23/2015/sros-propose-amending-nms-cat-plan-limit-conflicts-selection-plan-processor2020-12-15T04:28Znever https://www.findknowdo.com/news/07/11/2013/sros-sanction-newedge-supervisory-regulation-sho-and-records-violations2020-12-15T03:03Znever https://www.findknowdo.com/news/12/23/2011/staff-no-action-relief-application-certain-cea-provisions-after-general-effective-date-title-vii-dodd-frank-wall-street-reform-and-consumer-protection-act.-%28letter%292020-12-15T03:15Znever https://www.findknowdo.com/news/09/22/2011/stages-truth-%28cftc-commissioner-chilton-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/07/2012/standard-chartered-plc-strongly-rejects-position-nydfs2024-02-03T23:12Znever https://www.findknowdo.com/news/02/24/2011/standard-investment-chartered-inc.-v.-nasd-%282d-cir.-feb.-11-2011%292020-08-06T23:33Znever https://www.findknowdo.com/news/09/21/2012/state-regulators-view-implementation-jobs-act-%28-lofchie-comment%292020-08-24T19:53Znever https://www.findknowdo.com/news/12/17/2014/state-regulators-propose-model-regulatory-framework-virtual-currency-activities2022-07-04T22:23Znever https://www.findknowdo.com/news/02/28/2013/state-securities-regulators-outline-legislative-priorities-113th-congress-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/03/18/2011/statement-financial-stability-oversight-council2020-12-15T05:07Znever https://www.findknowdo.com/news/04/16/2013/statement-fdic-director-wigand-and-acting-general-counsel-osterman-jr.-whos-too-big-fail2020-08-24T19:43Znever https://www.findknowdo.com/news/09/12/2011/statement-sec-chairman-mary-schapiro-proxy-access-litigation-%28press-release%292020-08-06T23:33Znever https://www.findknowdo.com/news/05/14/2012/statement-concerning-publication-iosco-april-27-2012-consultation-report-iosco-standing-committee-5-money-market-funds..2021-01-24T01:53Znever https://www.findknowdo.com/news/08/15/2012/statement-superintendent-ny-department-financial-services2024-02-03T23:12Znever https://www.findknowdo.com/news/01/05/2012/statement-office-trustee-liquidation-mf-global-inc.-%28press-release%292021-06-15T20:09Znever https://www.findknowdo.com/news/06/06/2012/statement-cftc-chairman-gary-gensler-regarding-house-appropriations-subcommittees-vote-cftc-budget-%28cftc-press-release%292020-12-15T02:10Znever https://www.findknowdo.com/news/06/13/2012/statement-cftc-chairman-gary-gensler-regarding-senate-appropriations-subcommittees-vote-cftc-budget2020-12-15T02:29Znever https://www.findknowdo.com/news/04/25/2013/statement-chairman-gary-gensler-financial-stability-oversight-council2020-12-15T05:15Znever https://www.findknowdo.com/news/02/14/2011/statement-commissioner-bart-chilton-presidents-fy-2012-proposed-budget2020-12-15T03:05Znever https://www.findknowdo.com/news/01/04/2011/statement-commissioner-bart-chilton-regarding-position-limits-and-interim-position-points2020-12-15T06:35Znever https://www.findknowdo.com/news/04/08/2014/statement-commissioner-omalia-cftcs-fiscal-year-2013-report-congress2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/06/2012/statement-dissent-cftc-sec-report-international-swap-regulation-pursuant-section-719%28c%29-dodd-frank-act-%28report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/18/2012/statement-general-policy-sequencing-compliance-dates-final-rules-applicable-security-based-swaps-adopted-pursuant-exchange-act-and-dodd-frank-act-%28sec-statement%292020-12-14T08:10Znever https://www.findknowdo.com/news/04/20/2012/statement-policy-regarding-conformance-period-entities-engaged-prohibited-proprietary-trading-or-private-equity-fund-or-hedge-fund-activities2021-02-01T19:38Znever https://www.findknowdo.com/news/11/16/2011/statement-mf-global-next-steps-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/04/28/2011/statement-president-obamas-comments-regarding-speculation-cftc-commissioner-bart-chilton2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/19/2011/statement-regarding-mf-global-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/05/15/2012/statement-clarify-supervisory-expectations-stress-testing-community-banks-%28federal-reserve-fdic-occ-joint-statement%292020-12-15T06:55Znever https://www.findknowdo.com/news/12/30/2013/statements-regard-craig-pirrong-%28-lofchie-comment%292021-06-11T17:45Znever https://www.findknowdo.com/news/03/01/2013/steven-harris-and-jay-hanson-reappointed-pcaob2020-08-06T23:33Znever https://www.findknowdo.com/news/02/27/2013/steven-j.-randich-citigroup-named-finras-chief-information-officer2020-08-06T23:33Znever https://www.findknowdo.com/news/10/10/2012/stockholm-university-study-diversity-high-frequency-traders2020-12-03T01:33Znever https://www.findknowdo.com/news/03/19/2012/strategic-framework-office-financial-research-%28dodd-frank-study%292022-07-27T19:43Znever https://www.findknowdo.com/news/07/28/2014/streetwise-professor-craig-pirrong-benchmarks2020-08-06T23:33Znever https://www.findknowdo.com/news/11/26/2013/streetwise-professor-craig-pirrong-cftc-rule-regarding-ccp-qualifying-liquid-resources2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/02/2014/streetwise-professor-craig-pirrong-clearing-rule-conflict-between-united-states-and-eu-%28-lofchie-comment%292020-12-15T05:09Znever https://www.findknowdo.com/news/10/06/2014/streetwise-professor-craig-pirrong-cross-border-issues-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/11/2013/streetwise-professor-craig-pirrong-position-limits-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/09/11/2014/streetwise-professor-craig-pirrong-lack-enthusiasm-toward-sefs-%28-lofchie-comment%292020-12-04T02:13Znever https://www.findknowdo.com/news/10/24/2013/streetwise-professor-craig-pirrong-sef-rulemaking-%28-lofchie-comment%292020-12-15T06:34Znever https://www.findknowdo.com/news/04/25/2014/streetwise-professor-craig-pirrong-publishes-white-paper-economics-commodity-trading-firms2020-12-15T06:48Znever https://www.findknowdo.com/news/07/29/2013/streetwise-professor-craig-pirrong-%28if-law-supposes-...%29-%28-lofchie-comment%292020-12-15T04:42Znever https://www.findknowdo.com/news/10/08/2013/streetwise-professor-craig-pirrong-tower-babel-otc-derivatives-edition2022-07-08T17:16Znever https://www.findknowdo.com/news/02/06/2013/streetwise-professor-craig-pirrong-back-futurization-consequences-swap-o-phobia2020-12-15T02:54Znever https://www.findknowdo.com/news/02/20/2013/streetwise-professor-craig-pirrong-fixes-these2020-12-15T03:07Znever https://www.findknowdo.com/news/07/22/2015/streetwise-professor-discusses-limitations-dodd-frank2020-08-24T18:16Znever https://www.findknowdo.com/news/04/22/2015/streetwise-professor-wonders-whos-blame-flash-crash2020-12-15T03:28Znever https://www.findknowdo.com/news/11/06/2012/stress-testing-regulated-entities-extension-comment-period-%28fed.-reg.-version%292020-12-15T03:05Znever https://www.findknowdo.com/news/10/08/2012/stress-testing-regulated-entities-notice-proposed-rulemaking-request-comment-%28fhfa-fed.-reg.-version%292020-12-15T03:55Znever https://www.findknowdo.com/news/04/05/2011/structure-fsa-business-units2020-12-15T03:37Znever https://www.findknowdo.com/news/08/11/2014/structured-finance-industry-group-announces-first-paper-rmbs-3.0-green-paper-series2020-08-06T23:33Znever https://www.findknowdo.com/news/11/14/2013/structured-finance-industry-group-newsletter2020-12-15T05:14Znever https://www.findknowdo.com/news/01/15/2011/study-recommendations-prohibitions-proprietary-trading-certain-relationships-hedge-funds-private-equity-funds2021-02-01T19:37Znever https://www.findknowdo.com/news/01/26/2011/study-recommendations-regarding-concentration-limits-large-financial-companies2020-12-15T05:18Znever https://www.findknowdo.com/news/01/27/2011/study-and-recommendations-improved-investor-access-registration-information-about-investment-advisers-and-broker-dealers2022-08-30T19:10Znever https://www.findknowdo.com/news/04/25/2011/study-and-recommendations-section-404%28b%29-sox-small-public-issuers2020-08-24T19:59Znever https://www.findknowdo.com/news/06/22/2015/study-considers-effect-high-frequency-trading-large-institutional-orders2020-08-06T23:33Znever https://www.findknowdo.com/news/02/09/2011/study-examines-possible-contributors-subprime-foreclosures2020-08-06T23:33Znever https://www.findknowdo.com/news/08/05/2015/study-finds-dodd-frank-title-iv-pushes-out-smaller-private-fund-advisers-%28-lofchie-comment%292021-06-21T19:21Znever https://www.findknowdo.com/news/04/12/2012/study-cross-border-scope-private-right-action-under-section-10%28b%29-securities-exchange-act-1934-%28dodd-frank-study%292020-08-24T19:59Znever https://www.findknowdo.com/news/02/14/2011/study-strict-derivatives-regulation-could-cost-130000-jobs2020-12-15T03:52Znever https://www.findknowdo.com/news/04/15/2013/subcommittee-discusses-bipartisan-bills-fix-dodd-frank-derivatives-provisions-and-require-cost-benefit-analyses2020-12-15T06:00Znever https://www.findknowdo.com/news/05/16/2012/summary-remarks-meeting-otc-derivatives-regulators-%28speech-sec-chairman-mary-l.-schapiro%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/03/2012/sunshine-act-notice2020-12-15T03:44Znever https://www.findknowdo.com/news/10/12/2012/supervisory-and-company-run-stress-test-requirements-covered-companies-final-rule-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/05/18/2012/supervisory-guidance-stress-testing-banking-organizations-more-10-billion-total-consolidated-assets-%28federal-reserve-fdic-occ-joint-guidance%292020-12-15T04:22Znever https://www.findknowdo.com/news/05/15/2012/supervisory-guidance-stress-testing-banking-organizations-total-consolidated-assets-more-10-billion-%28federal-reserve-fdic-occ-joint-guidance%292020-12-15T04:01Znever https://www.findknowdo.com/news/09/19/2012/supplementary-regulations-regulation-short-selling-and-cds-published2020-12-02T23:39Znever https://www.findknowdo.com/news/07/26/2011/supreme-court-future-judgments-belmont-park-investments-pty-limited-%28respondent%29-v-bny-corporate-trustee-services-limited-and-lehman-brothers-special-financing-inc-%28appellant%292021-06-11T18:21Znever https://www.findknowdo.com/news/12/05/2014/supreme-court-hears-oral-argument-agency-interpretive-rule-case-perez-v.-mortgage-bankers-association2021-06-28T15:09Znever https://www.findknowdo.com/news/03/08/2012/supreme-court-rules-lehman-client-money2021-06-16T14:07Znever https://www.findknowdo.com/news/06/24/2013/supreme-courts-decision-nlrb-case-will-determine-constitutionality-cordrays-appointment2020-08-24T19:38Znever https://www.findknowdo.com/news/03/28/2014/survey-emphasizes-costs-dodd-frank-end-users-%28-lofchie-comment%292020-08-24T19:28Znever https://www.findknowdo.com/news/03/01/2013/survey-buy-side-market-participants-shows-lack-enthusiasm-cftcs-sef-proposal-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/05/2012/survey-shows-free-checking-becoming-increasingly-rare-dodd-franks-burden2020-12-15T06:31Znever https://www.findknowdo.com/news/04/22/2013/susan-axelrod-named-finras-executive-vice-president-regulatory-operations2020-08-06T23:33Znever https://www.findknowdo.com/news/01/31/2011/suspension-and-order-instituting-proceedings-determine-whether-approve-proposed-rule-change-link-market-data-fees-and-transaction-execution-fees2021-06-11T20:19Znever https://www.findknowdo.com/news/02/09/2011/swap-clients-want-longer-trade-reporting-times2020-12-15T03:50Znever https://www.findknowdo.com/news/12/23/2011/swap-data-recordkeeping-and-reporting-requirements-%28final-rule%292024-01-29T03:21Znever https://www.findknowdo.com/news/04/28/2011/swap-data-recordkeeping-and-reporting-requirements-pre-enactment-and-transition-swaps2020-12-15T04:26Znever https://www.findknowdo.com/news/06/12/2012/swap-data-recordkeeping-and-reporting-requirements-pre-enactment-and-transition-swaps-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/07/2012/swap-data-repositories-interpretative-statement-regarding-confidentiality-and-indemnification-provisions-section-21%28d%29-commodity-exchange-act-%28cftc-proposed-interpretive-statement%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/02/2011/swap-data-repositories-registration-standards-duties-and-core-principles-%28final-rule%29-17-cfr-part-492024-01-31T03:13Znever https://www.findknowdo.com/news/01/25/2013/swap-data-repository-follies-%28-energy-metro-desk%292024-01-31T03:13Znever https://www.findknowdo.com/news/10/25/2012/swap-data-cftc-gives-access-non-u.s.-regulators-%28fed.-reg.-version%29-%28-lofchie-comment%29-%28previously-published-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/03/2012/swap-dealer-and-major-swap-participant-recordkeeping-reporting-and-duties-rules-futures-commission-merchant-and-introducing-broker-conflicts-interest-rules-and...-%28cftc-final-rule%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/08/2013/swap-dealers-and-msps-clerical-or-ministerial-employees-%28fed.-reg.-version-proposed-rule%292020-12-15T05:51Znever https://www.findknowdo.com/news/02/08/2011/swap-trading-relationship-documentation-requirements-swap-dealers-and-major-swap-participants2020-12-15T06:23Znever https://www.findknowdo.com/news/09/20/2011/swap-transaction-compliance-and-implementation-schedule-clearing-and-trade-execution-requirements-under-section-2%28h%29-cea-%28proposed-rule%292020-12-15T06:39Znever https://www.findknowdo.com/news/09/16/2011/swap-transaction-compliance-and-implementation-schedule-trading-documentation-and-margining-requirements-under-section-4s-cea-%28proposed-rule%292020-12-15T06:53Znever https://www.findknowdo.com/news/08/15/2012/swap-trigger-countdown2020-12-15T02:21Znever https://www.findknowdo.com/news/06/09/2014/switzerland-enacts-legislation-implement-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/10/10/2014/switzerland-negotiate-model-1-fatca-iga-u.s.2020-08-24T19:03Znever https://www.findknowdo.com/news/06/03/2013/system-logic-discussion-technology-issues-nasdaq-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/06/25/2015/t2-industry-steering-committee-releases-white-paper-regarding-proposed-timeline-t2-settlement-cycle2020-08-24T18:16Znever https://www.findknowdo.com/news/02/09/2011/tarp-bank-programs-nearing-profitability-after-fifth-third-bancorp-repays-3.4-billion2020-08-06T23:33Znever https://www.findknowdo.com/news/03/05/2013/taylor-v.-bernanke-et-al.2020-12-15T03:59Znever https://www.findknowdo.com/news/02/07/2011/td-ameritrade-petition-rulemaking-concerning-market-data-structure2020-08-06T23:33Znever https://www.findknowdo.com/news/07/19/2012/technical-amendment-rules-temporary-registration-municipal-advisors-final-rule-%28sec%292020-12-15T06:53Znever https://www.findknowdo.com/news/07/19/2011/technical-amendment-sec-procedures-filing-applications-section-36-exemptive-relief2020-08-06T23:33Znever https://www.findknowdo.com/news/12/02/2014/technical-amendments-proposed-nfa-elections-process2020-08-06T23:33Znever https://www.findknowdo.com/news/04/07/2011/technical-amendments-exchange-act-rule-19b-42020-08-24T19:59Znever https://www.findknowdo.com/news/02/28/2011/technical-amendments-rule-17a-8-financial-recordkeeping-and-reporting-currency-and-foreign-transactions2020-08-24T19:59Znever https://www.findknowdo.com/news/11/01/2011/technical-committee-iosco-report-regulatory-issues-raised-impact-technological-changes-market-integrity-and-efficiency2020-12-15T06:31Znever https://www.findknowdo.com/news/01/06/2011/technology-advisory-committee2020-08-24T19:59Znever https://www.findknowdo.com/news/05/29/2012/technology-advisory-committee-and-members-new-subcommittee-automated-and-high-frequency-trading-%28cftc-advisory-committee-meeting-today%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/10/2015/technology-expert-asserts-bitcoins-long-term-viability-threatened-block-size-limits2020-12-15T03:35Znever https://www.findknowdo.com/news/08/24/2011/temporary-exemption-floor-broker-operations-broker-dealers-automated-controls-requirement-rule-15c3-5-%28exemptive-order%29-76-fr-514572020-12-15T03:34Znever https://www.findknowdo.com/news/07/13/2012/temporary-relief-clearing-members-requirements-ownership-level-reporting-ss-20.4-cftcs-regulations-regarding-large-swaps-trader-reporting-physical-commodities2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/08/2013/temporary-rule-regarding-principal-trades-certain-advisory-clients-final-rule-%28sec-fed.-reg.-version%292020-08-06T23:33Znever https://www.findknowdo.com/news/10/12/2012/temporary-rule-regarding-principal-trades-certain-advisory-clients-proposed-rule-%28sec-fed.-reg.-version%292020-12-15T03:14Znever https://www.findknowdo.com/news/04/25/2014/tension-ukraine-continues-mount-broader-sanctions-possible-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/12/2013/testimonies-federal-reserve-and-occ-senate-banking-committee-regarding-role-independent-consultants-enforcement2020-12-15T03:52Znever https://www.findknowdo.com/news/02/10/2011/testimony-house-committee-agriculture2020-12-15T04:20Znever https://www.findknowdo.com/news/03/17/2011/testimony-house-committee-appropriations-subcommittee-agriculture-rural-development-food-and-drug-administration-and-related-agencies2020-12-15T04:35Znever https://www.findknowdo.com/news/03/31/2011/testimony-u.s.-house-committee-agriculture2020-12-15T04:51Znever https://www.findknowdo.com/news/04/14/2011/testimony-u.s.-house-representatives-committee-financial-services-subcommittee-oversight-and-investigations2020-12-15T05:53Znever https://www.findknowdo.com/news/04/12/2011/testimony-u.s.-senate-committee-banking2020-12-15T06:26Znever https://www.findknowdo.com/news/12/06/2011/testimony-u.s.-senate-committee-banking-housing-and-urban-affairs-washington-dc-%28testimony%292020-12-15T06:41Znever https://www.findknowdo.com/news/11/07/2011/testimony-u.s.-senate-homeland-security-and-governmental-affairs-permanent-subcommittee-investigations-%28testimony%292021-07-09T16:49Znever https://www.findknowdo.com/news/12/14/2011/testimony-united-states-senate-committee-agriculture-nutrition-and-forestry-washington-dc-%28testimony%292020-08-24T19:59Znever https://www.findknowdo.com/news/12/01/2011/testimony-us-senate-committee-agriculture-nutrition-and-forestry-washington-dc-%28testimony%292020-12-15T02:46Znever https://www.findknowdo.com/news/04/18/2012/testimony-concerning-economic-analysis-sec-rulemaking2020-12-15T06:50Znever https://www.findknowdo.com/news/01/18/2012/testimony-cftc-chairman-gary-gensler-subcommittees-u.s.-house-financial-services-committee-%28testimony%292021-02-01T19:38Znever https://www.findknowdo.com/news/03/30/2011/testimony-cftc-general-counsel-dan-berkovitz2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/03/2011/testimony-chairman-gary-gensler-u.s.-senate-committee-agriculture-nutrition-forestry-washington-dc2020-12-15T03:37Znever https://www.findknowdo.com/news/05/12/2011/testimony-chairman-gary-gensler-u.s.-senate-committee-banking-housing-and-urban-affairs2020-12-15T03:55Znever https://www.findknowdo.com/news/12/09/2011/testimony-daniel-j.-roth-president-and-chief-executive-officer-national-futures-association-committee-agriculture-u.s.-house-representatives-%28testimony%292020-08-06T23:33Znever https://www.findknowdo.com/news/02/11/2011/testimony-robert-pickel-u.s.-house-representatives-committee-agriculture2021-06-11T19:55Znever https://www.findknowdo.com/news/05/18/2012/testimony-examining-settlement-practices-u.s.-financial-regulators-%28sec-press-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/05/22/2012/testimony-implementing-derivatives-reform-reducing-systemic-risk-and-improving-market-oversight-%28sec-press-release%292020-09-28T15:13Znever https://www.findknowdo.com/news/07/17/2012/testimony-title-vii-implementation-robert-cook-director-sec-division-trading-markets-committee-agriculture-nutrition-forestry-united-states-senate2020-08-06T23:33Znever https://www.findknowdo.com/news/05/11/2015/texas-supreme-court-rules-life-settlement-contacts-and-viaticals-are-subject-texas-securities-act-%28-lofchie-comment%292020-08-24T18:16Znever https://www.findknowdo.com/news/09/19/2012/text-inclusive-prosperity-act-%28h.r.-6411%29-now-available2020-08-06T23:33Znever https://www.findknowdo.com/news/07/02/2014/texts-bvi-and-israel-igas-released-iraq-agrees-substance-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/01/13/2011/antitrust-division-lays-egg.-again2020-12-15T06:47Znever https://www.findknowdo.com/news/06/29/2015/bank-international-settlements-issues-85th-annual-report-%28-lofchie-comment%292020-12-15T05:55Znever https://www.findknowdo.com/news/07/11/2013/cftc-and-european-commission-common-path-forward-regulating-derivatives-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/21/2012/cftc-announced-launch-a-website-market-participants-register-cftc-interim-compliant-identifiers-%28cici%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/22/2011/cftc-announces-appointment-gary-barnett-swaps-division-director-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/13/2011/cftc-does-net-neutrality-or-blob-grows-some-more2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/11/2014/cftc-extends-conditional-time-limited-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-14-105%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/05/2014/cftc-issues-no-action-relief-insurance-company-regarding-interposed-longevity-reinsurance-transactions-%28cftc-letter-14-67%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/09/2013/cftc-says-it-looked-all-comment-letters-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/11/2011/client-money-and-asset-return-%28cmar%29-operational-implementation2020-08-06T23:33Znever https://www.findknowdo.com/news/02/04/2011/controversy-over-position-limits2020-12-15T04:49Znever https://www.findknowdo.com/news/02/09/2011/economic-outlook-and-monetary-and-fiscal-policy2020-08-06T23:33Znever https://www.findknowdo.com/news/02/11/2011/futures-america2020-12-15T05:13Znever https://www.findknowdo.com/news/12/10/2014/hong-kong-monetary-authority-and-securities-and-futures-commission-issue-guidance-reporting-otc-derivatives2020-12-15T02:57Znever https://www.findknowdo.com/news/08/20/2012/house-committee-financial-services-blog-dodd-frank-dilemma2020-08-24T19:53Znever https://www.findknowdo.com/news/10/22/2012/house-financial-services-committee-blog-jobs-act-boosting-economy-and-bank-deregistrations2020-12-15T06:39Znever https://www.findknowdo.com/news/07/09/2013/house-financial-services-committee-passes-two-bills2020-12-15T06:23Znever https://www.findknowdo.com/news/02/12/2013/hunter-amaranth-ferc-redo2020-08-24T19:43Znever https://www.findknowdo.com/news/02/25/2013/hunter-amaranth-ferc-redo-part-22020-08-24T19:43Znever https://www.findknowdo.com/news/04/02/2014/latest-ukraine-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/08/2013/msrb-submits-rule-change-membership-its-board2020-12-15T04:04Znever https://www.findknowdo.com/news/11/29/2011/non-investment-products-code-update2021-06-11T17:44Znever https://www.findknowdo.com/news/06/07/2013/occ-guidance-bankers-appealing-agency-decisions2021-06-13T15:14Znever https://www.findknowdo.com/news/04/15/2013/presidents-budget-fiscal-year-2014-senate-committee-hearing2020-08-24T19:43Znever https://www.findknowdo.com/news/02/06/2013/royal-bank-scotland-settles-libor-manipulation-charges-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/11/2014/scrub-act-2014-do-we-need-anti-regulatory-agency-%28energy-metro-desk-article%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/22/2013/sec-and-european-regulators-establish-supervisory-cooperation-arrangements-related-asset-management-industry2020-08-06T23:33Znever https://www.findknowdo.com/news/10/26/2012/sec-and-case-no-count-accountant2020-08-24T19:46Znever https://www.findknowdo.com/news/07/10/2013/sec-approves-jobs-act-rules-%28-delta-strategy-group-meeting-summary%29-%28-lofchie-comment%292021-06-12T11:25Znever https://www.findknowdo.com/news/06/28/2013/sec-approves-ficcs-exemption-application-permanent-registration-a-clearing-agency2024-01-31T02:37Znever https://www.findknowdo.com/news/11/09/2012/sec-responds-eaton-corporation-successor-issuers2020-12-04T23:35Znever https://www.findknowdo.com/news/05/08/2014/second-circuit-finds-u.s.-securities-laws-do-not-reach-foreign-squared-transactions-%28-isajiw-comment%292020-08-06T23:33Znever https://www.findknowdo.com/news/11/09/2011/sipa-liquidation-mf-global-inc.-james-w.-giddens-trustee-message-former-customers-mfgi-%28notice%292020-08-06T23:33Znever https://www.findknowdo.com/news/08/28/2012/sun-never-sets-dodd-frank-moons-rise-revolt2020-08-24T19:53Znever https://www.findknowdo.com/news/03/24/2011/takeover-panel-publication-code-committee-pcp-2011/12020-08-06T23:33Znever https://www.findknowdo.com/news/07/04/2011/takeover-panel-guidance-re.-proposed-code-amendments2020-12-15T02:52Znever https://www.findknowdo.com/news/01/23/2013/truth-can-not-be-hidden-gao-report-shows-regulators-struggling-finalize-dodd-frank-rules-%28-lofchie-comment%292020-12-15T04:42Znever https://www.findknowdo.com/news/10/01/2012/wheatley-review-libor2021-06-11T21:32Znever https://www.findknowdo.com/news/04/08/2013/there-are-some-things-brothers-and-sisters-should-not-share2020-08-24T19:43Znever https://www.findknowdo.com/news/02/06/2013/things-you-cant-tell-your-husband-%28-lofchie-comment%292020-12-15T06:39Znever https://www.findknowdo.com/news/03/29/2011/third-party-service-providers2021-02-01T19:49Znever https://www.findknowdo.com/news/09/05/2014/thirteen-major-financial-institutions-accused-conspiring-manipulate-isdafix2020-08-24T19:23Znever https://www.findknowdo.com/news/02/09/2011/thousands-pages-go-we-sleep2021-06-11T20:01Znever https://www.findknowdo.com/news/10/17/2012/three-cftc-no-acts-permitting-delegation-obligation-register-a-cpo2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/30/2013/three-federal-bank-agencies-seek-comment-dodd-frank-act-stress-test-guidance-medium-sized-firms2021-06-13T14:44Znever https://www.findknowdo.com/news/06/16/2014/three-governors-sworn-frb2026-04-15T21:18Zyearly https://www.findknowdo.com/news/06/27/2012/three-jailed-insider-dealing-after-us-and-uk-investigation2020-08-06T23:33Znever https://www.findknowdo.com/news/06/28/2012/three-new-advisers-act-sec-enforcement-actions2020-08-24T19:53Znever https://www.findknowdo.com/news/05/07/2015/tick-size-constraints-high-frequency-trading-and-liquidity-%28-lofchie-comment%292020-12-03T01:33Znever https://www.findknowdo.com/news/06/27/2013/time-limited-no-action-relief-%2813-37%29-regarding-treatment-swap-transactions-floor-traders-purposes-swap-dealer-definition2020-08-24T19:38Znever https://www.findknowdo.com/news/05/30/2013/timeline-cftc-implementation-key-provisons-dodd-frank-%28provided-delta-strategy-group%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/16/2013/timeline-implementation-sef-trade-execution-requirements-%28prepared-delta-strategy-group%292020-12-15T04:53Znever https://www.findknowdo.com/news/07/26/2012/timothy-geithners-testimony-hearing-annual-report-financial-stability-oversight-council2021-01-24T01:53Znever https://www.findknowdo.com/news/11/12/2013/timothy-massad-nominated-cftc-chairman-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/05/2014/timothy-massad-sworn-cftc-chairman2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/13/2013/trade-assocations-urge-congress-pass-cyber-defense-legislation2021-06-12T21:52Znever https://www.findknowdo.com/news/05/07/2014/trade-association-asks-irs-address-issues-arising-under-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/08/22/2012/trade-associations-comment-letter-urging-sec-not-pursue-proposals-money-market-fund-reform2021-01-24T01:53Znever https://www.findknowdo.com/news/08/28/2012/trade-associations-comments-et-guidance2020-12-15T02:21Znever https://www.findknowdo.com/news/12/04/2012/trade-associations-challenge-sec-rule-requiring-public-companies-disclose-payments-more-100000-foreign-governments2020-12-15T05:13Znever https://www.findknowdo.com/news/06/10/2013/trade-associations-request-a-six-month-extension-cftcs-cross-border-exemptive-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2013/trade-associations-request-additional-extension-fatca-phased-timeline-%28-lofchie-music-selection%292021-01-20T13:55Znever https://www.findknowdo.com/news/12/26/2013/trade-associations-request-clarifications-regarding-holding-debt-securities-under-new-volcker-rule-regulations-%28-lofchie-comment%292020-12-15T04:51Znever https://www.findknowdo.com/news/01/07/2014/trade-associations-request-further-clarification-regarding-ownership-interests-debt-securities-under-new-volcker-rule-regulations2020-12-15T05:58Znever https://www.findknowdo.com/news/09/23/2013/trade-associations-say-no-sefs-tonight-please-%28-lofchie-comment%292020-12-15T03:54Znever https://www.findknowdo.com/news/07/15/2014/trade-associations-submit-comment-letter-regarding-cfpb-privacy-notices2020-12-19T22:44Znever https://www.findknowdo.com/news/07/09/2013/trade-associations-submit-comments-cftcs-handling-cross-border-issues-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2013/trade-associations-submit-comments-cftc-jurisdiction-and-aggregation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/05/2013/trade-associations-submit-comments-cftc-lsoc-implementation-and-clearing-mandate-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/17/2014/trade-associations-submit-joint-comment-letter-frb-regarding-activities-financial-holding-companies-related-physical-commodities2022-08-30T19:10Znever https://www.findknowdo.com/news/07/31/2013/trade-associations-submit-letter-support-mulvaney-amendment2020-08-06T23:33Znever https://www.findknowdo.com/news/11/04/2014/trade-associations-submit-letter-fsb-opposing-stay-swap-termination-rights2020-08-24T19:03Znever https://www.findknowdo.com/news/07/08/2014/trade-associations-submit-letter-senators-regarding-cybersecurity-information-sharing-act-20142021-03-20T16:47Znever https://www.findknowdo.com/news/07/16/2014/trade-associations-submit-letters-esas-emir-risk-mitigation-regulatory-technical-standards2020-12-15T06:45Znever https://www.findknowdo.com/news/06/12/2015/trade-associations-urge-senate-act-cybersecurity-bill2021-03-20T16:47Znever https://www.findknowdo.com/news/07/14/2014/trade-associations-urge-ttip-negotiators-include-financial-services-regulatory-coordination-trade-agreement2020-08-24T19:23Znever https://www.findknowdo.com/news/01/29/2013/trade-associations-reply-brief-u.s.-court-appeals-d.c.-circuit-regarding-review-sec-rule-13q-12020-12-03T17:49Znever https://www.findknowdo.com/news/05/24/2013/trader-charged-making-too-nice-his-wife-%28-lofchie-comment%292020-08-06T23:33Znever https://www.findknowdo.com/news/01/29/2014/trading-firm-fined-flawed-blue-sheet-trading-data2020-12-16T23:41Znever https://www.findknowdo.com/news/03/26/2012/transaction-reporting-system-reference-termination-transaction-reporting-service-%28trs%292020-08-06T23:33Znever https://www.findknowdo.com/news/03/08/2012/transaction-reporting-memo-transactions-flex-derivatives-contracts-conducted-through-eurex-otc2020-08-06T23:33Znever https://www.findknowdo.com/news/01/08/2013/transition-period-under-section-716-dodd-frank-act-%28occ-fed.-reg.-version%292020-12-15T06:36Znever https://www.findknowdo.com/news/01/03/2013/transition-period-under-section-716-dodd-frank-act2020-12-15T06:06Znever https://www.findknowdo.com/news/11/16/2012/treasury-%28-last%29-determines-foreign-exchange-swaps-and-foreign-exchange-forwards-are-not-swaps-...-%28-lofchie-comment%292026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/14/2013/treasury-and-switzerland-sign-fatca-iga2026-04-15T21:06Zyearly https://www.findknowdo.com/news/11/15/2012/treasury-continues-build-international-support-combating-offshore-tax-evasion-and-facilitating-fatca-implementation2026-04-15T21:06Zyearly https://www.findknowdo.com/news/09/06/2013/treasury-deletes-references-credit-ratings-irs-regulations-%28fed.-reg.%292026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/09/2011/treasury-department-announces-launch-beta-consumer-financial-protection-bureau-website2026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/01/2011/treasury-department-announces-public-offering-warrants-purchase-common-stock-boston-private-financial-holdings-inc.2026-04-15T21:06Zyearly https://www.findknowdo.com/news/01/26/2011/treasury-department-announces-public-offerings-warrants-purchase-common-stock-citigroup-inc.2026-04-15T21:06Zyearly https://www.findknowdo.com/news/11/15/2012/treasury-department-releases-model-2-fatca-iga2026-04-15T21:06Zyearly https://www.findknowdo.com/news/03/06/2015/treasury-department-releases-model-1-igas-kosovo-and-qatar2026-04-15T21:06Zyearly https://www.findknowdo.com/news/04/02/2014/treasury-expands-lists-countries-igas-considered-effect-april-25-deadline-register-extended2026-04-15T21:06Zyearly https://www.findknowdo.com/news/12/06/2013/treasury-inspector-general-report-recommends-improvements-fatca-registration-system2026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/20/2013/treasury-issues-faq-regarding-legal-entity-identifiers2026-04-15T21:06Zyearly https://www.findknowdo.com/news/05/02/2011/treasury-issues-notice-proposed-determination-fx-swaps-and-forwards2026-04-15T21:06Zyearly https://www.findknowdo.com/news/01/04/2013/treasury-issues-revised-model-1-igas-%28fatca%292026-04-15T21:06Zyearly https://www.findknowdo.com/news/06/12/2015/treasury-market-practices-group-updates-best-practice-guidance-address-automated-trading2026-04-15T21:06Zyearly https://www.findknowdo.com/news/12/13/2013/treasury-official-says-fatca-effective-date-will-remain-july-12026-04-15T21:06Zyearly https://www.findknowdo.com/news/03/05/2014/treasury-official-says-penalty-grace-period-unlikely-fatca2026-04-15T21:06Zyearly https://www.findknowdo.com/news/10/08/2014/treasury-officials-promise-more-guidance-self-certifications-iga-countries2026-04-15T21:06Zyearly https://www.findknowdo.com/news/06/13/2014/treasury-proposes-amend-large-position-reporting-rules-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:06Zyearly https://www.findknowdo.com/news/06/02/2014/treasury-publishes-first-fatca-ffi-list2026-04-15T21:06Zyearly https://www.findknowdo.com/news/05/31/2013/treasury-publishes-revised-annex-iis-fatca-igas2026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/20/2014/treasury-releases-last-substantial-fatca-rules-package2026-04-15T21:06Zyearly https://www.findknowdo.com/news/03/23/2015/treasury-releases-model-1-iga-signed-belarus2026-04-15T21:06Zyearly https://www.findknowdo.com/news/05/10/2013/treasury-releases-updated-drafts-fatca-iga-models2026-04-15T21:06Zyearly https://www.findknowdo.com/news/07/15/2013/treasury-revises-model-igas-under-fatca2026-04-15T21:06Zyearly https://www.findknowdo.com/news/11/11/2013/treasury-revises-model-igas-under-fatca-again2026-04-15T21:06Zyearly https://www.findknowdo.com/news/06/12/2014/treasury-revises-model-igas-annex-i-affecting-due-diligence-procedures2026-04-15T21:06Zyearly https://www.findknowdo.com/news/05/07/2013/treasury-secretary-lew-urges-house-reject-derivatives-proposals-%28-lofchie-comment-and-youtube-link%292026-04-15T21:06Zyearly https://www.findknowdo.com/news/05/22/2013/treasury-secretary-lews-testimony-fsoc-annual-report2026-04-15T21:06Zyearly https://www.findknowdo.com/news/03/04/2013/treasury-publish-new-model-fatca-igas-countries-lacking-tax-treaties-or-information-exchange-agreements-u.s.2026-04-15T21:06Zyearly https://www.findknowdo.com/news/03/07/2013/treasury-undersecretary-terrorism-and-financial-intelligence-david-cohens-testimony-aml/cft2026-04-15T21:06Zyearly https://www.findknowdo.com/news/09/12/2011/treatment-asset-backed-issuers-under-investment-company-act-%28proposed-rule%292021-01-24T05:12Znever https://www.findknowdo.com/news/04/07/2011/treatment-non-margin-eligible-equity-securities2020-08-24T19:59Znever https://www.findknowdo.com/news/08/17/2011/tribunal-upholds-fsa-decision-ban-and-fine-hedge-fund-ceo-and-cfo-ps2.1m-deceiving-investors-and-market-abuse2020-08-24T20:06Znever https://www.findknowdo.com/news/11/01/2011/trilogue-agreement-council-and-parliament-new-rules-short-selling-and-credit-default-swaps2020-12-15T02:12Znever https://www.findknowdo.com/news/10/24/2013/triple-international-financial-law-review-articles-sefs2021-06-12T11:37Znever https://www.findknowdo.com/news/09/28/2012/trueex-becomes-cftcs-first-designated-contract-market-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/09/2011/trustee-press-release-regarding-judges-approval-third-transfer-and-securities-accounts-sale-%28press-release%292020-12-15T06:30Znever https://www.findknowdo.com/news/12/14/2011/trustees-memorandum-regarding-legal-principles-and-framework-claims-process-%28brief%292020-08-06T23:33Znever https://www.findknowdo.com/news/01/19/2012/trustees-sixty-day-report-status-liquidation-%28report%292020-12-15T06:50Znever https://www.findknowdo.com/news/02/07/2013/truth-lending-%28regulation-z%29-%28cfpb-final-rule%292022-08-30T19:10Znever https://www.findknowdo.com/news/03/28/2013/truth-lending-%28regulation-z%29-%28cfpb-final-rule-official-interpretations%292022-08-30T19:10Znever https://www.findknowdo.com/news/05/20/2014/twelve-more-russians-sanctioned-under-magnitsky-act-%28-turza-comment%292026-06-20T13:48Zmonthly https://www.findknowdo.com/news/09/30/2013/two-cftc-no-action-letters-%2813-55-and-13-56%29-swap-data-reporting-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2014/two-cftc-no-action-letters-regarding-fcms-handling-customer-funds-%28cftc-letters-14-02-and-14-03%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2012/two-new-advisers-act-sec-enforcement-actions2020-08-06T23:33Znever https://www.findknowdo.com/news/04/28/2014/two-sec-commissioners-call-rejection-conflict-minerals-rule-%28-woody-comment%292020-12-15T05:13Znever https://www.findknowdo.com/news/06/25/2013/u.k.-and-u.s.-amend-annex-ii-fatca-iga2020-08-06T23:33Znever https://www.findknowdo.com/news/10/31/2012/u.k.-case-relating-libor2020-12-15T04:38Znever https://www.findknowdo.com/news/06/03/2013/u.k.-issues-revised-draft-regulations-and-guidance-implementation-fatca-iga-united-states2020-08-24T19:38Znever https://www.findknowdo.com/news/12/10/2012/u.k.s-son-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/04/10/2013/u.k.-germany-and-other-eu-countries-agree-pilot-multilateral-tax-information-exchange-based-fatca2020-08-24T19:43Znever https://www.findknowdo.com/news/04/10/2014/u.s.-and-canadian-citizens-charged-using-offshore-accounts-and-foreign-nominee-entities-launder-money2020-12-15T02:24Znever https://www.findknowdo.com/news/02/03/2014/u.s.-and-eu-hold-financial-markets-regulatory-dialogue-%28-lofchie-comment%292021-06-23T01:38Znever https://www.findknowdo.com/news/04/20/2015/u.s.-and-eu-trade-associations-issue-statement-support-ttip-negotiations-%28-lofchie-comment%292021-01-20T13:55Znever https://www.findknowdo.com/news/03/25/2014/u.s.-and-european-financial-services-trade-associations-issue-joint-statement-ttip2020-08-06T23:33Znever https://www.findknowdo.com/news/11/14/2013/u.s.-and-france-sign-iga-combat-offshore-tax-evasion2020-08-24T19:31Znever https://www.findknowdo.com/news/12/06/2012/u.s.-and-ireland-sign-iga-agreement-respect-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/10/01/2013/u.s.-and-switzerland-amend-intergovernmental-agreement-under-fatca2020-08-24T19:31Znever https://www.findknowdo.com/news/09/17/2012/u.s.-and-u.k.-sign-first-fatca-intergovernmental-agreement2020-08-24T19:53Znever https://www.findknowdo.com/news/10/13/2014/u.s.-and-uk-officials-meet-discuss-components-resolution-global-systemically-important-bank2021-06-23T21:18Znever https://www.findknowdo.com/news/02/18/2015/u.s.-attorney-announces-charges-against-former-investment-management-firm-employee-obstruction-justice-and-perjury2020-08-24T19:00Znever https://www.findknowdo.com/news/07/10/2013/u.s.-bankruptcy-court-approves-mf-global/bank-settlement2020-12-15T06:21Znever https://www.findknowdo.com/news/12/23/2010/u.s.-congress-blunts-agency-fund-request-enforce-dodd-frank2020-08-06T23:33Znever https://www.findknowdo.com/news/05/16/2014/u.s.-court-issues-decision-foreign-official-definition-under-fcpa-%28-banoun-and-clark-comment%292021-06-28T15:52Znever https://www.findknowdo.com/news/03/18/2015/u.s.-court-appeals-denies-whistleblower-petition2024-01-30T02:46Znever https://www.findknowdo.com/news/12/10/2014/u.s.-court-appeals-dismisses-insider-trading-case-%28-bondi-comment%292020-12-15T02:43Znever https://www.findknowdo.com/news/04/14/2015/u.s.-department-labor-issues-proposed-rule-regarding-fiduciary-definition2020-12-15T05:19Znever https://www.findknowdo.com/news/06/19/2013/u.s.-department-treasurys-chairman-reed-legal-entity-identifiers2021-01-24T05:23Znever https://www.findknowdo.com/news/06/10/2013/u.s.-district-court-dismisses-bloomberg-suit-against-cftc-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/02/2014/u.s.-district-court-enters-final-judgment-against-defendants-broker-dealer-registration-case2020-08-06T23:33Znever https://www.findknowdo.com/news/04/28/2014/u.s.-expands-ukraine-related-sanctions-%28-turza-comment%292021-06-17T14:54Znever https://www.findknowdo.com/news/07/19/2013/u.s.-gaos-report-congressional-committees-need-further-consider-proposals-impact-systemic-risk-%28-lofchie-comment%292020-12-15T04:03Znever https://www.findknowdo.com/news/04/14/2015/u.s.-house-ag-subcommittee-holds-hearing-cftc-reauthorization-%28-delta-strategy-group-summary%292020-12-15T04:34Znever https://www.findknowdo.com/news/02/11/2015/u.s.-house-appropriations-subcommittee-holds-cftc-budget-hearing-%28-delta-strategy-group-summary%292020-08-24T19:00Znever https://www.findknowdo.com/news/03/26/2015/u.s.-house-committee-agriculture-holds-hearing-cftc-reauthorization-%28-delta-strategy-group-summary%292020-12-15T05:10Znever https://www.findknowdo.com/news/07/08/2015/u.s.-house-committee-agriculture-holds-hearing-economic-impact-exporting-crude-oil-%28-delta-strategy-group-summary%292020-08-24T18:16Znever https://www.findknowdo.com/news/03/24/2015/u.s.-house-committee-agriculture-holds-hearing-regarding-cftc-reauthorization-and-end-users-%28-delta-strategy-group-summary%292020-12-15T05:57Znever https://www.findknowdo.com/news/02/12/2015/u.s.-house-committee-agriculture-holds-hearing-examine-cftcs-2015-agenda2020-08-24T19:00Znever https://www.findknowdo.com/news/04/15/2015/u.s.-house-committee-appropriations-holds-sec-budget-hearing-%28-delta-strategy-group-summary%292020-12-15T06:37Znever https://www.findknowdo.com/news/04/23/2015/u.s.-house-financial-services-subcommittee-holds-hearing-examine-regulatory-burdens-financial-sector2020-08-24T19:00Znever https://www.findknowdo.com/news/04/15/2015/u.s.-house-financial-services-subcommittee-holds-hearing-examine-regulatory-burdens-non-depository-financial-institutions-%28-delta-strategy-group-summary-and-lofchie-comment%292020-12-15T05:12Znever https://www.findknowdo.com/news/03/26/2015/u.s.-house-representatives-propose-bill-regarding-insider-trading-%28-lofchie-comment%292020-12-15T02:52Znever https://www.findknowdo.com/news/04/11/2014/u.s.-imposes-further-sanctions-russia-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/12/05/2012/u.s.-initials-fatca-igas-spain-and-switzerland2020-08-24T19:46Znever https://www.findknowdo.com/news/03/21/2014/u.s.-issues-executive-order-house-resolution-and-more-sanctions-regarding-ukraine-situation-%28-turza-comment%292026-06-19T22:32Zmonthly https://www.findknowdo.com/news/05/28/2014/u.s.-issues-new-executive-order-lifting-certain-sanctions-against-iraq-%28-turza-comment%292026-06-20T13:48Zmonthly https://www.findknowdo.com/news/03/12/2014/u.s.-secretary-labor-announces-new-leadership-2014-erisa-advisory-council2021-06-28T17:22Znever https://www.findknowdo.com/news/09/19/2012/u.s.-senate-banking-committee-hearing-9/20-what-should-rules-road-be-computerized-trading2020-12-03T01:33Znever https://www.findknowdo.com/news/11/14/2012/u.s.-senate-banking-committee-hearing-oversight-basel-iii-impact-proposed-capital-rules2020-12-15T02:50Znever https://www.findknowdo.com/news/03/26/2015/u.s.-senate-banking-committee-holds-hearing-fsoc-accountability-and-non-bank-designations-%28-lofchie-comment%292020-12-15T04:41Znever https://www.findknowdo.com/news/04/28/2015/u.s.-senate-banking-committee-holds-hearing-insurance-industry-and-insurance-regulation2020-12-15T05:44Znever https://www.findknowdo.com/news/02/05/2014/u.s.-senate-banking-committee-open-session-hearing-oversight-financial-stability-and-data-security2020-12-15T03:03Znever https://www.findknowdo.com/news/06/05/2014/u.s.-senate-committee-foreign-relations-holds-hearing-regarding-developments-ukraine-%28-turza-comment%292026-06-20T13:48Zmonthly https://www.findknowdo.com/news/01/07/2014/u.s.-senate-confirms-janet-yellen-federal-reserve-chair2020-12-15T03:35Znever https://www.findknowdo.com/news/03/15/2013/u.s.-senate-permanent-subcommittee-investigations-holds-hearing-and-publishes-report-examining-matters-relating-credit-derivative-trades-made-jpmc2020-12-15T04:29Znever https://www.findknowdo.com/news/02/26/2014/u.s.-senate-subcommittee-investigations-issues-report-banks-facilitating-offshore-u.s.-tax-evasion2020-08-24T19:23Znever https://www.findknowdo.com/news/10/05/2012/u.s.-senator-ask-feds-assist-community-banks2020-08-24T19:53Znever https://www.findknowdo.com/news/04/30/2014/u.s.-senator-proposes-new-legislation-enact-more-aggressive-sanctions-against-russia-%28-turza-comment%292026-06-19T22:32Zmonthly https://www.findknowdo.com/news/03/12/2015/u.s.-senators-propose-bill-regarding-insider-trading-%28-lofchie-comment%292020-12-15T06:23Znever https://www.findknowdo.com/news/07/13/2015/u.s.-senators-urge-cfpb-hasten-regulation-b-rulemaking-%28-lofchie-comment%292020-12-15T05:18Znever https://www.findknowdo.com/news/07/17/2014/u.s.-significantly-expands-ukraine-related-sanctions-europe-announces-new-measures-%28-turza-comment%292021-06-28T15:51Znever https://www.findknowdo.com/news/12/04/2014/u.s.-treasury-deputy-secretary-raskin-provides-recommendations-executives-and-boards-regarding-cybersecurity-%28-isajiw-comment%292021-03-20T16:46Znever https://www.findknowdo.com/news/12/05/2012/u.s.-treasury-extends-grandfather-rules-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/07/17/2012/u.s.-vulnerabilities-money-laundering-drugs-and-terrorist-financing-hsbc-case-history2021-03-26T18:58Znever https://www.findknowdo.com/news/02/25/2013/u.s.-germany-initial-fatca-based-tax-agreement2020-08-24T19:43Znever https://www.findknowdo.com/news/08/06/2013/ubs-pay-50-million-settle-sec-charge-misleading-disclosure-connection-marketing-cdo2020-08-06T23:33Znever https://www.findknowdo.com/news/03/03/2011/uk-authorities-response-commission-services-consultation-review-insurance-mediation-directive2021-06-11T19:39Znever https://www.findknowdo.com/news/10/19/2012/uk-draft-banking-reform-bill-and-related-documents-published2020-12-15T03:44Znever https://www.findknowdo.com/news/02/01/2011/uk-financial-authorities-respond-consultation-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/09/21/2012/uk-government-plans-attract-high-growth-companies-london-%28-lofchie-comment%292020-12-15T05:41Znever https://www.findknowdo.com/news/10/01/2014/uk-hm-treasury-publishes-consultation-document-proposing-additional-benchmarks2020-08-24T19:03Znever https://www.findknowdo.com/news/12/20/2012/uk-issues-draft-guidance-fatca-iga2020-08-24T19:46Znever https://www.findknowdo.com/news/08/27/2013/uk-issues-revised-guidance-notes-under-fatca2020-08-24T19:38Znever https://www.findknowdo.com/news/04/11/2011/uk-opts-eu-brussels-1-regulation2020-08-06T23:33Znever https://www.findknowdo.com/news/02/10/2011/uk-parliament-confirms-resolution-arrangements-failing-investment-banks2020-08-06T23:33Znever https://www.findknowdo.com/news/10/31/2012/uk-parliament-establishes-panel-investigate-hbos-failure2021-06-16T14:16Znever https://www.findknowdo.com/news/10/22/2012/uk-parliament-report-fsa-supervision-banks-%28-lofchie-comment%292020-12-15T05:58Znever https://www.findknowdo.com/news/09/19/2014/uk-publishes-updated-guidance-notes-fatca2020-08-24T19:03Znever https://www.findknowdo.com/news/02/10/2011/uk-response-commission-services-consultation-review-markets-financial-instruments-directive2020-08-06T23:33Znever https://www.findknowdo.com/news/08/03/2015/uk-serious-fraud-office-convicts-banker-falsely-setting-yen-libor-rate2021-06-18T16:56Znever https://www.findknowdo.com/news/04/23/2013/uk-russia-and-others-urge-u.s.-limit-cross-border-reach-dodd-frank-swaps-rules-%28-lofchie-comment%292020-12-15T04:23Znever https://www.findknowdo.com/news/03/14/2014/ukraine-update-%28-turza-comment%292026-06-19T22:32Zmonthly https://www.findknowdo.com/news/04/14/2014/ukraine-update-canada-follows-u.s.-lead-expands-sanctions-against-individuals-and-companies-%28-turza-comment%292021-06-17T15:02Znever https://www.findknowdo.com/news/04/29/2014/ukrainian-and-iranian-sanctions-update-%28-turza-comment%292021-06-28T16:10Znever https://www.findknowdo.com/news/03/10/2014/ukrainian-sanctions-%28-turza-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/09/27/2012/understanding-muni-market-indices-yield-curves-and-benchmarks-%28msrb-educational-resource%292020-08-06T23:33Znever https://www.findknowdo.com/news/06/26/2013/united-states-house-representatives-financial-services-committee-hearing-how-dodd-frank-act-could-result-more-taxpayer-funded-bailouts2020-09-28T15:14Znever https://www.findknowdo.com/news/03/25/2015/upcoming-cftc-market-risk-advisory-committee-meeting-will-focus-clearing-and-derivatives2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/26/2012/upcoming-cftc-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/18/2012/upcoming-cftc-sunshine-act-meetings-regarding-surveillance-and-enforcement-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/19/2012/update-tri-party-repo-infrastructure-reform-%28statement-federal-reserve-bank-new-york%292020-12-15T04:56Znever https://www.findknowdo.com/news/05/09/2014/update-ukraine-and-other-sanctions-week-may-5-%28-turza-comment%292024-02-12T02:40Znever https://www.findknowdo.com/news/05/17/2013/update-various-proposed-statutory-amendments-dodd-frank-and-jobs-act-%28prepared-delta-strategy-group%292020-12-15T06:07Znever https://www.findknowdo.com/news/02/04/2011/updated-forex-transactions-a-regulatory-guide2024-01-29T03:21Znever https://www.findknowdo.com/news/12/20/2012/updated-ice-futures-u.s.-block-trades-faq2020-12-15T03:55Znever https://www.findknowdo.com/news/06/04/2013/updated-timeline-cftc-implementation-key-provisions-dodd-frank-%28-delta-strategy-group%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/11/2011/us-cash-commodity-traders-fret-over-swaps-regs2020-12-15T04:31Znever https://www.findknowdo.com/news/01/27/2011/us-cftc-seeks-more-information-funds-advisors2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/us-fines-rice-traders-over-big-positions-amid-rally2020-12-15T05:08Znever https://www.findknowdo.com/news/02/02/2011/us-regulators-approve-nyse-dtcc-clearinghouse-venture2024-01-31T02:37Znever https://www.findknowdo.com/news/02/11/2011/us-regulators-set-miss-dodd-frank-deadline2020-12-15T06:01Znever https://www.findknowdo.com/news/02/11/2011/us-regulators-struggle-keep-dodd-frank2020-12-15T06:33Znever https://www.findknowdo.com/news/09/12/2011/use-derivatives-investment-companies-under-investment-company-act-1940-%28concept-release%292021-01-24T01:47Znever https://www.findknowdo.com/news/03/04/2014/using-regulation-create-reliable-national-market-system-%28system-logic-memo%29-%28-lofchie-comment-and-youtube-selection%292020-12-03T01:33Znever https://www.findknowdo.com/news/05/28/2013/various-cftc-external-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/02/2012/various-external-cftc-meetings-%28including-two-volcker%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2012/various-external-cftc-meetings-including-non-u.s.-governments-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/15/2015/vatican-enters-model-1-iga-united-states2020-08-06T23:33Znever https://www.findknowdo.com/news/08/26/2013/velocity-futures-agrees-pay-penalty-settle-charges-it-failed-comply-its-minimum-financial-requirements2020-12-15T06:26Znever https://www.findknowdo.com/news/01/22/2013/vincente-martinez-named-chief-secs-office-market-intelligence2020-08-06T23:33Znever https://www.findknowdo.com/news/03/02/2015/volcker-agencies-issue-faq-clarifying-sotus-exemption2020-12-15T02:46Znever https://www.findknowdo.com/news/04/21/2015/volcker-alliance-releases-report-structure-financial-regulation-%28-lofchie-comment%292021-02-01T19:38Znever https://www.findknowdo.com/news/12/30/2013/volcker-lawsuit-trups-backed-cdo2020-12-15T03:16Znever https://www.findknowdo.com/news/11/13/2014/volcker-rule-faqs2021-02-01T19:38Znever https://www.findknowdo.com/news/11/01/2011/wachovia-bank-v.-vcg-special-opportunities-master-fund-%28court-decision%292020-08-06T23:33Znever https://www.findknowdo.com/news/03/28/2012/waivers-pre-trade-transparency2021-06-11T17:32Znever https://www.findknowdo.com/news/03/30/2015/washington-state-securities-division-issues-preproposal-statement-inquiry2021-06-21T18:35Znever https://www.findknowdo.com/news/09/20/2012/watch-live-%2810-am%29-senate-banking-committee-hearing-computerized-trading2020-08-24T19:53Znever https://www.findknowdo.com/news/09/20/2012/watch-live-%2810-am%29-senate-hearing-semi-annual-report-consumer-financial-protection-bureau2020-12-15T04:39Znever https://www.findknowdo.com/news/05/17/2012/webcast-open-meeting-27th-series-rulemakings-under-dodd-frank-act-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/17/2014/weekly-roundup-securities-exchange-rule-changes2020-09-18T01:55Znever https://www.findknowdo.com/news/03/13/2015/weekly-roundup-exchange-rule-changes2020-09-18T01:55Znever https://www.findknowdo.com/news/06/27/2014/weekly-roundup-exchange-rule-changes-%28-category%29-%28-fitzgerald-comment%292021-06-23T01:34Znever https://www.findknowdo.com/news/05/09/2014/weekly-roundup-exchange-rule-changes-%28-category%29-note-nsx-seeks-cease-trading-activity-may-30-2014-%28-fitzgerald-comment%292021-07-06T14:02Znever https://www.findknowdo.com/news/01/23/2015/weekly-roundup-exchange-rule-changes-category-%28-fitzgerald-comment%292020-09-18T01:55Znever https://www.findknowdo.com/news/02/03/2014/weekly-roundup-securities-exchange-rule-changes2020-09-18T01:55Znever https://www.findknowdo.com/news/02/07/2014/weekly-roundup-securities-exchange-rule-changes-%28-category%292021-06-17T15:47Znever https://www.findknowdo.com/news/03/07/2014/weekly-roundup-sro-rule-changes2020-09-18T01:55Znever https://www.findknowdo.com/news/03/14/2014/weekly-roundup-sro-rule-changes-%28-category%292020-09-18T01:55Znever https://www.findknowdo.com/news/05/02/2011/wells-fargo-securities-sec-no-action-letter2020-08-06T23:33Znever https://www.findknowdo.com/news/12/23/2010/what-could-possibly-go-wrong2020-08-06T23:33Znever https://www.findknowdo.com/news/09/27/2012/what-relevance-libor-muni-market-%28msrb-educational-resource%29-%28-lofchie-comment%292020-12-15T04:12Znever https://www.findknowdo.com/news/09/20/2012/whats-new-division-corporate-finance-%28sec-presentation-banks-savings-institutions%292020-12-15T03:56Znever https://www.findknowdo.com/news/08/13/2012/wheatley-review-seeks-public-opinion-libor-reform2020-12-15T04:48Znever https://www.findknowdo.com/news/09/04/2013/when-you-mess-cftc-you-mess-nfa-nfa-proposes-adoption-compliance-rule-2-49-%28-lofchie-comment-and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2015/white-house-announces-new-cybersecurity-measures2021-03-20T16:47Znever https://www.findknowdo.com/news/08/21/2013/white-house-press-release-financial-regulation2020-12-15T05:08Znever https://www.findknowdo.com/news/11/07/2013/william-c.-dudley-delivers-remarks-global-economic-policy-forum-%28-lofchie-comment%292020-12-15T03:45Znever https://www.findknowdo.com/news/06/19/2012/wisconsin-public-pension-manager-invests-175-million-hedge-funds-%28mfa-blog-entry%292020-08-24T19:53Znever https://www.findknowdo.com/news/08/23/2011/wolfsberg-group-issues-updated-anti-corruption-guidance2021-07-09T16:48Znever https://www.findknowdo.com/news/08/23/2011/wolfsberg-group-publishes-updated-trade-finance-principles2021-06-11T18:12Znever https://www.findknowdo.com/news/07/31/2015/world-socialist-web-site-discusses-failures-dodd-frank-calls-statute-meaningless2020-08-24T18:16Znever https://www.findknowdo.com/news/03/26/2015/tax-court-sustains-partnership-adjustments-after-son-boss-transactions-taxpayers-avoid-penalties2021-06-21T20:33Znever https://www.findknowdo.com/news/11/08/2011/treatment-assets-held-mf-global-inc.-and-affiliated-entities-%28notice%292020-08-06T23:33Znever https://www.findknowdo.com/news/10/22/2013/u.s.-district-judge-pauley-rules-dodd-frank-whistleblower-provisions-do-not-apply-outside-united-states-%28-lofchie-comment%292024-01-30T02:46Znever https://www.findknowdo.com/news/12/11/2014/u.s.-signs-fatca-igas-singapore-and-three-other-countries2020-08-24T19:03Znever https://www.findknowdo.com/news/10/08/2015/affiliated-adviser-and-broker-dealer-settle-charges-concerning-flawed-information-policies-and-procedures2021-02-01T20:00Znever https://www.findknowdo.com/news/10/08/2015/cfpb-outlines-potential-arbitration-rulemaking-initiatives2020-08-24T18:03Znever https://www.findknowdo.com/news/10/08/2015/finra-announces-change-identification-qualified-contingent-trades-reported-finra-dissemination2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/08/2015/house-passes-homebuyers-assistance-act-and-other-financial-services-bills2020-08-24T18:03Znever https://www.findknowdo.com/news/10/08/2015/gao-reports-congress-frb-rules-establish-risk-based-capital-surcharges2026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/08/2015/former-sec-commissioner-joins-electronifies-board-directors2021-06-21T19:02Znever https://www.findknowdo.com/news/10/08/2015/iosco-board-reaffirms-strategic-direction2021-01-20T14:12Znever https://www.findknowdo.com/news/10/12/2015/nfa-updates-self-examination-questionnaire2026-04-15T21:00Zyearly https://www.findknowdo.com/news/10/12/2015/finra-requests-comments-regarding-pricing-information-fixed-income-transactions-%28finra-reg.-notice-15-36%29-02026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/finra-proposes-funding-portal-rules-related-forms-%28finra-reg.-notice-13-34%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/bill-amend-ofr-operations-introduced-house-representatives2022-07-27T19:43Znever https://www.findknowdo.com/news/10/12/2015/new-york-fed-announces-new-vp-and-head-financial-institution-supervision-group2020-08-24T17:15Znever https://www.findknowdo.com/news/10/12/2015/finra-proposes-merger-dispute-resolution-and-regulatory-subsidiaries-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/25/2015/sec-commissioners-press-completion-sec-rules-governing-security-based-swaps2020-12-15T05:09Znever https://www.findknowdo.com/news/09/25/2015/ici-calls-dol-fiduciary-proposal-unworkable2021-06-21T19:06Znever https://www.findknowdo.com/news/09/25/2015/sifma-calls-dol-re-propose-its-fiduciary-regulatory-package-and-prohibited-transaction-exemptions2021-01-13T20:58Znever https://www.findknowdo.com/news/09/25/2015/cftc-settles-charges-against-introducing-broker-and-its-coo2024-04-06T17:48Znever https://www.findknowdo.com/news/09/25/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/25/2015/frb-updates-faqs-volcker-rule-compliance-requirements2024-04-12T21:31Znever https://www.findknowdo.com/news/09/25/2015/cftc-signs-mou-korea-enhance-supervision-cross-border-clearing-organizations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/25/2015/sec-seeks-comment-regulation-s-x2020-12-04T23:35Znever https://www.findknowdo.com/news/09/25/2015/sec-removes-references-credit-ratings-money-market-fund-rule-and-form-%28fed.-reg.%292024-01-31T14:59Znever https://www.findknowdo.com/news/09/29/2015/mfa-makes-recommendations-strengthening-equity-market-structure2021-06-18T15:59Znever https://www.findknowdo.com/news/09/04/2015/weekly-roundup-exchange-rule-changes-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/25/2015/cftc-order-adds-asset-classes-ice-swap-data-repository2024-04-06T17:48Znever https://www.findknowdo.com/news/09/29/2015/sec-hold-equity-market-structure-advisory-committee-meeting2022-12-31T19:13Znever https://www.findknowdo.com/news/09/29/2015/sec-files-fraud-charges-against-investment-adviser-self-dealing2021-01-24T01:54Znever https://www.findknowdo.com/news/09/29/2015/nasaa-requests-comments-proposal-protect-vulnerable-adults-financial-exploitation2024-02-03T22:51Znever https://www.findknowdo.com/news/09/29/2015/frb-construct-domestic-regulatory-capital-framework-its-supervised-insurance-holding-companies2024-04-12T21:31Znever https://www.findknowdo.com/news/09/29/2015/sec-conference-marks-75th-anniversary-investment-company-act-and-investment-advisers-act2021-01-24T01:47Znever https://www.findknowdo.com/news/09/29/2015/cftc-settles-charges-against-individual-violating-speculative-position-limits-live-cattle-futures2024-04-06T17:48Znever https://www.findknowdo.com/news/09/29/2015/cftc-issue-290000-whistleblower-award2024-04-06T17:48Znever https://www.findknowdo.com/news/09/29/2015/cftc-charges-florida-companies-illegal-exchange-precious-metals-transactions-and-fcm-registration-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/29/2015/sec-finra-charge-broker-dealer-and-its-employee-supervisory-violations2024-04-12T13:06Znever https://www.findknowdo.com/news/09/29/2015/nasaa-appoints-new-president2024-02-03T22:51Znever https://www.findknowdo.com/news/09/29/2015/mfa-makes-recommendations-strengthening-equity-market-structure-02021-01-13T20:58Znever https://www.findknowdo.com/news/09/29/2015/cftc-chair-massad-discusses-state-derivatives-marketplace2024-04-06T17:48Znever https://www.findknowdo.com/news/10/12/2015/finra-requests-comments-regarding-pricing-information-fixed-income-transactions-%28finra-reg.-notice-15-36%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/finra-proposes-funding-portal-rules-related-forms-%28finra-reg.-notice-13-34%29-02026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/finra-proposes-funding-portal-rules-related-forms-%28finra-reg.-notice-13-34%29-12026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/bill-amend-ofr-operations-introduced-house-representatives-02022-07-27T19:43Znever https://www.findknowdo.com/news/10/12/2015/new-york-fed-announces-new-vp-and-head-financial-institution-supervision-group-02020-08-24T17:15Znever https://www.findknowdo.com/news/10/12/2015/finra-proposes-merger-dispute-resolution-and-regulatory-subsidiaries-%28fed.-reg.%29-02026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/12/2015/cftc-issues-fourth-no-action-delay-certain-package-transactions-%28cftc-letter-15-55%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/12/2015/imposition-fiduciary-standards-unlikely-affect-misconduct-study-warns2020-12-15T03:56Znever https://www.findknowdo.com/news/10/12/2015/sifma-supports-msrbs-proposed-amendments-rules-g-20-and-g-82026-04-15T21:22Zyearly https://www.findknowdo.com/news/10/12/2015/sec-grants-temporary-exemption-rating-agency-conflicts-interest-rule2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/14/2015/sec-settles-regulation-m-violation-charges-six-firms2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/14/2015/finra-proposes-content-outline-and-selection-specifications-securities-qualification-examination2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/14/2015/sec-proposes-liquidity-management-rules-mutual-and-exchange-traded-funds-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/14/2015/finra-distributes-ballots-election-small-firm-advisory-board2026-04-15T20:55Zyearly https://www.findknowdo.com/news/11/04/2015/sec-director-enforcement-likes-ccos-and-seldom-prosecutes-them2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/04/2015/sifma-asks-treasury-delay-effective-date-irc-regulations-taxing-nonresident-alien-individuals2026-04-15T21:22Zyearly https://www.findknowdo.com/news/11/05/2015/frb-governor-tarullo-encourages-cooperation-post-crisis-regulation-foreign-banking-organizations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/05/2015/sec-names-head-los-angeles-exam-program2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/05/2015/ici-supports-fsoc-improvement-act2021-06-18T17:45Znever https://www.findknowdo.com/news/11/05/2015/cftc-releases-faqs-regarding-cftc-forms-cpo-pqr-and-cta-pr2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/05/2015/finance-professor-warns-against-over-zealous-prosecution-spoofing-cases2020-12-03T20:51Znever https://www.findknowdo.com/news/11/05/2015/frb-vice-chair-makes-case-monetary-policy-independence2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/05/2015/ny-fed-hosts-workshop-reforming-culture-and-conduct-within-financial-services-industry2020-12-15T06:41Znever https://www.findknowdo.com/news/11/06/2015/two-former-derivatives-traders-indicted-alleged-manipulation-u.s.-dollar-and-yen-libor2020-08-24T18:03Znever https://www.findknowdo.com/news/10/01/2015/sec-commissioner-stein-stresses-greater-transparency-equity-markets2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/09/2015/sec-white-paper-examines-liquidity-and-flows-u.s.-mutual-funds-%28-lofchie-comment%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/09/2015/sec-clarifies-exchange-act-rule-16b-%283%29-a-business-development-company2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/15/2015/sec-chief-staff-offers-advice-chief-compliance-officers2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/15/2015/cftc-extends-conditional-no-action-relief-australia-based-trading-platform2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/16/2015/finra-proposal-addresses-risks-seniors-%28finra-reg.-notice-15-37%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/16/2015/finra-trade-reporting-rule-proposed-nextshares2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/19/2015/u.s.-secretary-labor-perez-defends-fiduciary-proposal2020-12-15T06:45Znever https://www.findknowdo.com/news/10/19/2015/cftc-brings-more-spoofing-charges2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/20/2015/finra-proposes-rule-change-establish-margin-requirements-tbas-and-other-agency-transactions-%28fed.-reg.%292024-04-12T13:06Znever https://www.findknowdo.com/news/10/22/2015/chair-massad-provides-a-cftc-regulatory-update-clearinghouse-risk-margin-and-automated-trading-%28-lofchie-comment-and-delta-strategy-group-summary%292024-04-06T17:47Znever https://www.findknowdo.com/news/10/23/2015/cftc-approves-nfa-adoption-cybersecurity-issps-%28nfa-notice-i-15-23%292024-04-06T17:47Znever https://www.findknowdo.com/news/10/28/2015/senator-warrens-study-finds-dangerous-problem-non-cash-compensations-annuity-sales2024-01-30T18:17Znever https://www.findknowdo.com/news/10/28/2015/economists-find-strong-evidence-best-execution-failures-corporate-bond-trading2024-04-12T21:31Znever https://www.findknowdo.com/news/10/30/2015/mfa-petitions-cftc-sef-amendments2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/02/2015/cftc-extends-temporary-no-action-relief-sefs-occurs-away-requirement-%28cftc-letter-15-60%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/02/2015/frb-solicits-comments-long-term-debt-and-total-loss-absorbing-capacity-proposal2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/03/2015/sefcon-speakers-offer-no-fix-horizon-%28energy-metro-desk%292022-06-18T19:01Znever https://www.findknowdo.com/news/11/04/2015/cftc-chair-massad-recommends-ways-improve-swap-data-reporting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/06/2015/cftc-releases-annual-enforcement-results-fy-20152026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/07/2015/otc-derivatives-regulator-group-reports-cross-border-clearing2020-08-24T18:03Znever https://www.findknowdo.com/news/11/06/2015/finra-and-isg-extend-effective-date-certain-electronic-blue-sheet-data-elements-%28finra-reg.-notice-15-44%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/11/07/2015/weekly-roundup-exchange-rule-changes-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/06/2015/sec-charges-trader-utilizing-false-tweets-manipulate-markets2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/06/2015/finra-alerts-investors-irs-impersonation-scam2026-04-15T20:55Zyearly https://www.findknowdo.com/news/11/07/2015/house-members-outline-legislative-principles-help-strengthen-retirement-security2021-06-21T19:00Znever https://www.findknowdo.com/news/11/09/2015/fdic-proposes-imposition-surcharge-quarterly-assessments-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/09/2015/nasaa-tells-investors-be-cautious-marijuana-binaries-and-bitcoins2024-02-12T02:40Znever https://www.findknowdo.com/news/11/17/2015/cftc-extends-no-action-relief-certain-inter-affiliate-swaps-trading-and-clearing-requirements2024-04-06T17:47Znever https://www.findknowdo.com/news/11/09/2015/fdic-issues-guidance-volcker-rule-and-investments-covered-funds2024-04-12T19:08Znever https://www.findknowdo.com/news/11/09/2015/fdic-vice-chair-hoenig-considers-risks-associated-regulatory-capital2024-04-12T19:08Znever https://www.findknowdo.com/news/11/09/2015/sec-approves-new-msrb-gifts-rules-municipal-advisors-%28msrb-reg.-notice-2015-21%292024-04-12T00:22Znever https://www.findknowdo.com/news/11/10/2015/senator-warren-and-representative-cummings-urge-sec-and-cftc-require-two-way-initial-margin-between-affiliates2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/10/2015/nfa-issues-faqs-and-video-tutorial-how-file-form-pr2026-04-15T21:00Zyearly https://www.findknowdo.com/news/11/10/2015/coal-company-agrees-greater-disclosure-climate-change-risk2022-11-22T15:31Znever https://www.findknowdo.com/news/11/10/2015/msrb-solicits-comments-amendments-shorten-securities-settlement-cycle-%28msrb-reg.-notice-15-22%292024-04-12T00:21Znever https://www.findknowdo.com/news/11/11/2015/sec-commissioner-stein-calls-regulators-surf-wave-innovation2020-12-03T02:29Znever https://www.findknowdo.com/news/11/10/2015/george-mason-academics-offer-cybersecurity-policy-reforms2024-02-07T20:40Znever https://www.findknowdo.com/news/11/11/2015/financial-service-leaders-discuss-state-capital-markets2021-06-21T18:21Znever https://www.findknowdo.com/news/11/11/2015/iosco-proposes-standards-custody-collective-investment-scheme-assets2020-09-28T15:13Znever https://www.findknowdo.com/news/11/11/2015/sifma-names-new-directors-its-board2021-06-21T18:20Znever https://www.findknowdo.com/news/11/11/2015/sifma-urges-finra-reconsider-amendments-margin-requirements-tba-transactions2024-04-12T13:05Znever https://www.findknowdo.com/news/11/11/2015/finra-proposes-change-mandatory-participation-business-continuity-testing-under-regulation-sci2024-04-12T13:05Znever https://www.findknowdo.com/news/11/11/2015/sec-approves-faster-disclosure-negative-information-about-broker-dealers2024-04-12T13:05Znever https://www.findknowdo.com/news/11/11/2015/fia-suggests-changes-iexs-registration-application2021-01-13T19:22Znever https://www.findknowdo.com/news/11/11/2015/finra-podcast-recaps-monthly-activities2024-04-12T13:05Znever https://www.findknowdo.com/news/11/11/2015/analysis-sec-disclosure-requirements-reveal-differences-between-foreign-and-domestic-firms2024-02-07T20:40Znever https://www.findknowdo.com/news/11/11/2015/oig-concludes-audit-fercs-cybersecurity-program2021-06-18T15:54Znever https://www.findknowdo.com/news/11/11/2015/nyu-finance-professor-praises-derivatives2024-02-07T20:40Znever https://www.findknowdo.com/news/11/11/2015/george-mason-mercatus-center-holds-panel-discussion-proxy-advisory-system2024-02-07T20:40Znever https://www.findknowdo.com/news/11/12/2015/sec-announces-new-director-ocie2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/12/2015/msrb-issues-2016-compliance-advisory-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/11/12/2015/cftc-solicits-comments-requests-swap-data-and-information-cco-reports-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/12/2015/patrick-sweeney-joins-board-msrb2024-04-12T00:21Znever https://www.findknowdo.com/news/11/12/2015/isda-revises-universal-resolution-stay-protocols2021-06-18T15:21Znever https://www.findknowdo.com/news/11/12/2015/house-representatives-press-frb-change-leverage-ratio2020-08-24T17:15Znever https://www.findknowdo.com/news/11/12/2015/frb-proposes-increasing-reserve-requirement-exemption-amount-depository-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/13/2015/bimonthly-reminder-upcoming-dates-and-deadlines-november-15-through-november-302021-01-06T15:34Znever https://www.findknowdo.com/news/11/13/2015/financial-services-associations-urge-regulators-reconsider-bcbs-capital-requirements2020-12-15T03:49Znever https://www.findknowdo.com/news/11/13/2015/sec-appoints-deputy-general-counsel-appellate-litigation-and-adjudication-sec-solicitor2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/13/2015/ofr-director-says-financial-stability-hinges-resilience2022-07-27T19:43Znever https://www.findknowdo.com/news/11/13/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/17/2015/representative-cummings-criticizes-sbs-waiver-request-provision2020-12-10T19:59Znever https://www.findknowdo.com/news/11/16/2015/finra-settles-charges-record-retention-failures-discount-retail-brokerage-firm2024-04-12T13:05Znever https://www.findknowdo.com/news/11/16/2015/cftc-charges-new-zealand-broker-unregistered-forex-trading2024-04-06T17:47Znever https://www.findknowdo.com/news/11/17/2015/fsc-announces-hearing-schedule-upcoming-week2021-06-18T19:14Znever https://www.findknowdo.com/news/11/16/2015/finra-proposes-wide-ticks-little-companies2024-04-12T13:05Znever https://www.findknowdo.com/news/11/16/2015/sec-settles-charges-investment-management-firm-making-false-performance-claims2022-08-30T19:10Znever https://www.findknowdo.com/news/11/17/2015/sec-commissioner-aguilar-leave-post-december2020-12-23T23:22Znever https://www.findknowdo.com/news/11/16/2015/sec-requests-comment-fee-series-57-securities-trader-qualification2024-04-12T13:05Znever https://www.findknowdo.com/news/11/16/2015/fdic-clarifies-2005-payday-lending-guidance2024-04-12T19:08Znever https://www.findknowdo.com/news/11/16/2015/finra-proposes-amendments-trf-reporting-fees2024-04-12T13:05Znever https://www.findknowdo.com/news/11/16/2015/fdic-solicits-comments-faqs-about-brokered-bank-deposits2024-04-12T19:08Znever https://www.findknowdo.com/news/11/16/2015/cftc-chair-timothy-massad-considers-central-clearing-evolving-market2024-04-06T17:47Znever https://www.findknowdo.com/news/11/16/2015/frb-requests-comment-proposal-use-rating-system-review-financial-market-infrastructure2024-04-12T21:30Znever https://www.findknowdo.com/news/11/16/2015/finra-imposes-significant-penalties-record-retention-failures2024-04-12T13:05Znever https://www.findknowdo.com/news/11/17/2015/frb-governor-powell-wants-expand-central-clearing2024-04-12T21:30Znever https://www.findknowdo.com/news/11/17/2015/sec-grants-limited-regulation-m-exemption-national-bank-greece2024-02-08T02:44Znever https://www.findknowdo.com/news/11/17/2015/sec-director-enforcement-reviews-fcpa-developments2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/17/2015/fdic-solicits-comments-surcharges-based-dif-reserve-ratio2024-04-12T19:08Znever https://www.findknowdo.com/news/11/17/2015/cftc-hold-open-meeting-consider-automated-trading-proposal2024-04-06T17:47Znever https://www.findknowdo.com/news/11/17/2015/frb-chair-yellen-criticizes-fed-oversight-reform-and-modernization-act2024-04-12T21:30Znever https://www.findknowdo.com/news/11/18/2015/sec-proposes-increase-disclosure-requirements-regarding-dark-pools2022-08-30T19:10Znever https://www.findknowdo.com/news/11/19/2015/house-financial-services-committee-examines-sec-fy-2017-budget-request2021-06-18T15:15Znever https://www.findknowdo.com/news/11/18/2015/cftc-staff-releases-preliminary-report-swap-dealer-de-minimis-exception2024-04-06T17:47Znever https://www.findknowdo.com/news/11/18/2015/sec-commissioner-piwowar-discusses-improving-ifrs-interactive-data-and-corporate-disclosures2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/18/2015/finra-provides-implementation-date-series-57-exam-%28finra-reg.-notice-15-45%292024-04-12T13:05Znever https://www.findknowdo.com/news/11/18/2015/cftc-chair-massad-outlines-cftcs-end-year-agenda2024-04-06T17:47Znever https://www.findknowdo.com/news/11/18/2015/finra-solicits-comment-reporting-employee-trading-%28fed.-reg.%292024-04-12T13:05Znever https://www.findknowdo.com/news/11/19/2015/federal-court-sanctions-company-precious-metals-scheme2020-12-15T06:43Znever https://www.findknowdo.com/news/11/20/2015/sec-director-corporation-finance-encourages-continuous-examination-rules2020-12-04T23:35Znever https://www.findknowdo.com/news/11/19/2015/regulators-tout-progress-bank-regulation2024-04-12T21:30Znever https://www.findknowdo.com/news/11/20/2015/international-capital-market-association-reports-european-repo-market2020-12-15T05:57Znever https://www.findknowdo.com/news/11/20/2015/sec-holds-forum-small-business-capital-formation2020-12-15T06:54Znever https://www.findknowdo.com/news/11/19/2015/finra-podcast-reviews-conflict-interest-provisions-under-equity-research-rules2024-04-12T13:05Znever https://www.findknowdo.com/news/11/19/2015/sec-settles-charges-firm-violated-custody-rule-failing-produce-reports2022-08-30T19:10Znever https://www.findknowdo.com/news/11/20/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/20/2015/cfpb-publishes-fall-2015-rulemaking-agenda2024-04-12T17:11Znever https://www.findknowdo.com/news/11/20/2015/sec-chair-white-decries-lack-diversity-u.s.2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/21/2015/ferc-issues-final-rule-third-party-provision-primary-frequency-response-service2021-06-21T18:59Znever https://www.findknowdo.com/news/11/20/2015/msrb-and-finra-provide-guidance-best-execution-securities-transactions2024-04-12T00:21Znever https://www.findknowdo.com/news/11/20/2015/house-passes-fed-oversight-reform-and-modernization-act-2015-and-other-bills-affecting-financial-services2022-08-30T19:05Znever https://www.findknowdo.com/news/11/21/2015/sec-extends-approval-deadline-merge-finra-dispute-resolution-inc.-and-finra-regulation-inc.-%28fed.-reg.%292021-06-21T18:23Znever https://www.findknowdo.com/news/11/20/2015/sec-obtains-final-judgments-against-immigration-attorneys-who-defrauded-investors-seeking-u.s.-residency2024-02-12T02:40Znever https://www.findknowdo.com/news/11/20/2015/cftc-discontinues-index-investment-data-reports2024-04-06T17:47Znever https://www.findknowdo.com/news/11/20/2015/frb-governor-powell-addresses-volatility-risk-and-treasury-market-structure2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/23/2015/ny-fed-executive-alberto-g.-musalem-calls-banking-industry-promote-a-positive-culture2024-04-12T21:30Znever https://www.findknowdo.com/news/11/23/2015/no-remuneration-indicator-approved-trace-reports-%28finra-reg.-notice-15-47%292024-04-12T13:05Znever https://www.findknowdo.com/news/11/23/2015/fdic-adds-new-cybersecurity-awareness-resources-financial-institutions2024-04-12T19:08Znever https://www.findknowdo.com/news/11/23/2015/finra-proposes-extending-tier-size-pilot-otc-equity-securities2024-04-12T13:05Znever https://www.findknowdo.com/news/11/23/2015/frb-updates-consumer-compliance-handbook2024-04-12T21:30Znever https://www.findknowdo.com/news/11/23/2015/sifma-reports-firms-are-better-prepared-cyber-attacks2026-04-15T21:22Zyearly https://www.findknowdo.com/news/11/23/2015/sec-grants-exemption-sub-penny-rule-connection-retail-price-improvement-program2026-04-15T20:41Zyearly https://www.findknowdo.com/news/11/25/2015/sec-issues-investor-bulletin-variable-annuities2020-08-24T17:15Znever https://www.findknowdo.com/news/11/24/2015/nfa-issues-annual-review-highlighting-accomplishments2024-04-05T19:36Znever https://www.findknowdo.com/news/11/24/2015/cftc-grants-no-action-relief-cross-border-swap-dealer-condition-it-comply-counterparties-local-requirements-cftc-grants-no-action-relief-swaps-london-branch-u.s.-bank-certain-non-u.s.-counterparties2024-04-06T17:47Znever https://www.findknowdo.com/news/11/25/2015/sec-settles-charges-against-political-intelligence-firm-failing-manage-mnpi2020-12-15T06:49Znever https://www.findknowdo.com/news/11/25/2015/cpmi-and-iosco-release-joint-consultative-paper-cyber-resilience2021-03-20T16:47Znever https://www.findknowdo.com/news/11/24/2015/cftc-approves-proposed-rule-automated-trading2024-04-06T17:47Znever https://www.findknowdo.com/news/11/24/2015/frb-proposes-rule-requiring-large-banks-disclose-their-consolidated-lcrs2024-04-12T21:30Znever https://www.findknowdo.com/news/11/24/2015/ffiec-issues-guidance-it-safety-and-governance2024-04-12T19:08Znever https://www.findknowdo.com/news/11/24/2015/frb-implement-recommendations-enhancing-supervision-large-banks2024-04-12T21:30Znever https://www.findknowdo.com/news/11/24/2015/republican-members-house-financial-services-committee-allege-cfpb-used-aggressive-efforts-against-vehicle-financing-business2022-08-30T19:06Znever https://www.findknowdo.com/news/11/25/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/25/2015/sec-solicits-comment-proposed-data-collection-requirements-tick-size-pilot-program-%28fed.-reg.%292024-04-12T13:05Znever https://www.findknowdo.com/news/11/25/2015/bimonthly-reminder-upcoming-dates-and-deadlines-december-1-through-december-152022-11-20T15:54Znever https://www.findknowdo.com/news/11/25/2015/isda-publishes-swapsinfo-third-quarter-2015-review2021-01-15T00:20Znever https://www.findknowdo.com/news/11/25/2015/cftc-seeks-comment-collection-certain-information-swap-dealers-and-major-swap-participants-%28fed.-reg.%292024-04-06T17:47Znever https://www.findknowdo.com/news/11/25/2015/finra-education-podcast-provides-tips-investors-rebalance-their-portfolios2024-04-12T13:05Znever https://www.findknowdo.com/news/11/25/2015/fia-ptg-closely-analyze-cftc-proposed-rule-automated-trading2021-06-18T15:52Znever https://www.findknowdo.com/news/11/30/2015/finra-publish-otc-equity-volume-executed-outside-atss-%28reg.-notice-15-48%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/01/2015/employer-chooses-not-appeal-whistleblower-retaliation-decision2020-08-24T17:15Znever https://www.findknowdo.com/news/12/01/2015/sec-freezes-assets-two-people-attempting-obtain-u.s.-residency-defrauding-investors2020-12-15T05:55Znever https://www.findknowdo.com/news/12/01/2015/u.s.-district-court-enters-order-injunction-against-cash-management-group-executive2020-08-24T17:15Znever https://www.findknowdo.com/news/11/30/2015/agencies-announce-threshold-smaller-loan-exemption-appraisal-requirements-higher-priced-mortgage-loans2024-04-12T21:44Znever https://www.findknowdo.com/news/11/30/2015/finra-cuts-waiting-time-bad-boy-information-%28finra-reg.-notice-15-49%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/11/30/2015/finra-proposes-new-amendments-trf-reporting-fees2024-04-12T13:05Znever https://www.findknowdo.com/news/11/30/2015/frb-approves-final-rule-procedures-emergency-lending2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/11/30/2015/frb-approves-final-rule-procedures-emergency-lending-02026-06-19T18:57Zmonthly https://www.findknowdo.com/news/11/30/2015/cftc-oig-reports-congress2024-04-06T17:47Znever https://www.findknowdo.com/news/11/30/2015/finra-update-cross-references-and-citations2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/02/2015/cftc-commissioner-giancarlo-concerned-about-future-not-past2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/02/2015/sifma-recommends-changes-finra-proposal-addressing-risks-seniors2026-04-15T21:22Zyearly https://www.findknowdo.com/news/12/02/2015/sifma-recommends-expanding-accommodations-sec-financial-disclosure-requirements2021-01-13T20:42Znever https://www.findknowdo.com/news/12/02/2015/nfa-provides-guidance-claiming-exemption-cpo-and-cta-registration-%28ifa-notice-i-15-26%292024-04-05T19:36Znever https://www.findknowdo.com/news/12/02/2015/regulators-address-economic-growth-and-paperwork-reduction2024-04-12T19:08Znever https://www.findknowdo.com/news/12/02/2015/research-fellow-criticizes-ombs-unified-agenda2024-02-07T20:40Znever https://www.findknowdo.com/news/12/02/2015/finra-proposes-removing-deadline-a-continuing-education-requirement2024-04-12T13:05Znever https://www.findknowdo.com/news/12/02/2015/national-audit-firm-admits-wrongdoing-ignoring-red-flags-and-fraud-risk2020-08-24T17:15Znever https://www.findknowdo.com/news/12/01/2015/sec-commissioner-aguilar-offers-helpful-tips-future-sec-commissioners2024-04-06T17:47Znever https://www.findknowdo.com/news/12/01/2015/sec-enforcement-director-andrew-ceresney-testifies-against-bill-email-privacy2020-12-19T22:44Znever https://www.findknowdo.com/news/12/01/2015/cme-group-provides-guidance-block-trades2024-04-05T18:43Znever https://www.findknowdo.com/news/12/01/2015/financial-services-committee-hold-hearing-legislative-proposals-improve-capital-markets2021-06-18T18:59Znever https://www.findknowdo.com/news/12/01/2015/sec-finra-and-msrb-hold-second-compliance-outreach-program-municipal-advisors2021-06-21T18:17Znever https://www.findknowdo.com/news/12/01/2015/sec-names-katherine-k.-martin-associate-director-office-international-affairs2020-08-24T17:15Znever https://www.findknowdo.com/news/12/01/2015/finra-proposal-extending-tier-size-pilot-otc-equity-securities-published-federal-register2024-04-12T13:05Znever https://www.findknowdo.com/news/12/01/2015/sec-freezes-assets-two-individuals-accused-defrauding-chinese-investors2024-02-12T02:40Znever https://www.findknowdo.com/news/12/01/2015/threshold-amount-remains-unchanged-exemption-appraisal-requirements-higher-priced-mortgages2024-04-12T21:44Znever https://www.findknowdo.com/news/12/01/2015/msrb-announces-new-members-its-2016-investor-advisory-group2024-04-12T00:21Znever https://www.findknowdo.com/news/12/01/2015/sec-warns-investors-about-risks-and-complexities-exchange-traded-notes2020-08-24T18:03Znever https://www.findknowdo.com/news/12/01/2015/nfa-announces-audio-conference-swap-review-process-non-u.s.-swap-dealers2024-04-05T19:36Znever https://www.findknowdo.com/news/12/03/2015/federal-reserve-vice-chair-fischer-discusses-financial-stability-and-shadow-banking2024-04-12T21:30Znever https://www.findknowdo.com/news/12/03/2015/u.s.-prudential-regulators-publish-rules-margin-and-capital-requirements-covered-swap-entities-%28fed.-reg.%292024-04-12T21:44Znever https://www.findknowdo.com/news/12/03/2015/three-traders-charged-fraud-spoofing-and-mismarking-option-orders2020-12-03T20:51Znever https://www.findknowdo.com/news/12/03/2015/finra-podcast-recaps-monthly-activities2024-04-12T13:05Znever https://www.findknowdo.com/news/12/08/2015/fsoc-voting-members-testify-financial-services-committee-oversight-hearing2022-07-27T18:55Znever https://www.findknowdo.com/news/12/08/2015/second-circuit-orders-new-trial-securities-fraud-case2022-11-16T00:58Znever https://www.findknowdo.com/news/12/08/2015/cftc-extends-time-limited-no-action-relief-recordkeeping-requirements-%28cftc-letter-15-65%292024-04-06T17:47Znever https://www.findknowdo.com/news/12/08/2015/finra-introduces-new-clearing-only-non-regulatory-reports-%28reg.-notice-15-51%292024-04-12T13:05Znever https://www.findknowdo.com/news/12/08/2015/u.s.-district-court-concludes-case-against-former-enron-president-jeffrey-skilling2021-01-16T00:20Znever https://www.findknowdo.com/news/12/09/2015/policy-be-worthy-pursuit2020-12-15T02:22Znever https://www.findknowdo.com/news/12/09/2015/streetwise-professor-argues-post-crisis-regulations-perpetuate-liquidity-and-clearing-risks2024-02-04T04:28Znever https://www.findknowdo.com/news/12/09/2015/board-governors-federal-reserve-adopts-regulation-q-amendments2024-04-12T21:30Znever https://www.findknowdo.com/news/12/09/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/09/2015/nfa-requests-nominations-public-director-vacancies-%28nfa-notice-i-15-27%292024-04-05T19:36Znever https://www.findknowdo.com/news/12/07/2015/bis-authors-identify-systemic-risks-due-central-clearing2024-02-05T17:30Znever https://www.findknowdo.com/news/12/07/2015/finra-proposes-lighter-rule-set-capital-acquisition-brokers2024-04-12T13:05Znever https://www.findknowdo.com/news/12/07/2015/president-obama-signs-highway-bill-multiple-financial-services-provisions2021-06-18T16:06Znever https://www.findknowdo.com/news/12/07/2015/supreme-court-agrees-hear-puerto-ricos-restructuring-appeal2020-08-24T18:03Znever https://www.findknowdo.com/news/12/07/2015/cftc-issues-order-against-two-companies-attempted-manipulation-natural-gas-monthly-index-settlement-prices2024-04-06T17:47Znever https://www.findknowdo.com/news/12/07/2015/fdic-updates-compliance-examination-manual2024-04-12T19:08Znever https://www.findknowdo.com/news/12/07/2015/nfa-amends-rules-proficiency-requirements-security-futures-products2024-04-05T19:36Znever https://www.findknowdo.com/news/12/09/2015/aicpa-holds-digital-cpa-conference-discuss-innovation-accounting-firms2022-12-03T14:10Znever https://www.findknowdo.com/news/12/14/2015/reg-tracker-december-15-through-december-312021-01-06T15:34Znever https://www.findknowdo.com/news/12/11/2015/sec-proposes-restricting-use-derivatives-regulated-funds2022-01-03T22:17Znever https://www.findknowdo.com/news/12/11/2015/sec-proposes-disclosure-rules-resource-extraction-issuers2020-12-03T17:49Znever https://www.findknowdo.com/news/12/11/2015/fincen-director-calvery-encourages-information-sharing-combat-cyber-threats2026-06-19T16:59Zmonthly https://www.findknowdo.com/news/12/11/2015/finra-finds-healthy-corporate-bond-market-most-measures2024-04-12T13:05Znever https://www.findknowdo.com/news/12/11/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/11/2015/nasaa-warns-investors-about-scams-related-third-party-asset-recovery-companies2024-02-03T22:51Znever https://www.findknowdo.com/news/12/11/2015/nfa-holds-podcast-swap-review-process-non-u.s.-swap-dealers2024-04-05T19:36Znever https://www.findknowdo.com/news/12/11/2015/fsoc-meet-market-developments2022-07-27T18:55Znever https://www.findknowdo.com/news/12/11/2015/nfa-hold-annual-election-cpo/cta-representative-nfas-board-directors2024-04-05T19:36Znever https://www.findknowdo.com/news/12/02/2015/research-fellow-criticizes-ombs-unified-agenda-02024-02-07T20:40Znever https://www.findknowdo.com/news/12/08/2015/mercatus-scholars-deem-efforts-bridge-communication-gap-monetary-policy-be-worthy-pursuit2024-02-07T20:40Znever https://www.findknowdo.com/news/12/10/2015/studies-indicate-high-frequency-trading-beneficial-canadian-equity-market2020-08-24T18:03Znever https://www.findknowdo.com/news/12/10/2015/finra-podcast-outlines-required-equity-research-policies2024-04-12T13:05Znever https://www.findknowdo.com/news/12/10/2015/nfa-bans-fcm-poor-risk-management2024-04-05T19:36Znever https://www.findknowdo.com/news/12/10/2015/finra-extends-review-period-proposed-funding-portal-rules2024-04-12T13:05Znever https://www.findknowdo.com/news/12/10/2015/basel-committee-proposes-revisions-standardized-approach-credit-risk2024-02-05T17:30Znever https://www.findknowdo.com/news/12/10/2015/fincen-extends-fbar-filing-deadline-again2024-04-02T18:52Znever https://www.findknowdo.com/news/12/10/2015/sec-suspends-accountants-deficient-audits-public-companies2020-08-24T17:15Znever https://www.findknowdo.com/news/12/10/2015/finra-proposes-new-amendments-trf-reporting-fees2024-04-12T13:05Znever https://www.findknowdo.com/news/12/14/2015/ici-updates-framework-oversight-fund-industry-intermediaries2021-06-18T19:02Znever https://www.findknowdo.com/news/12/14/2015/sifma-supports-two-day-settlement-municipal-securities2021-01-13T20:58Znever https://www.findknowdo.com/news/12/15/2015/ofr-report-finds-threats-financial-stability-are-increasing2022-07-27T19:43Znever https://www.findknowdo.com/news/12/14/2015/hands-tia-law-professors-tell-senators2024-02-07T20:40Znever https://www.findknowdo.com/news/12/15/2015/trade-groups-argue-preemption-state-usury-law-assignees-loans-originated-national-banks2021-02-01T19:52Znever https://www.findknowdo.com/news/12/15/2015/finra-releases-first-podcast-firm-element-training-plans2024-04-12T13:04Znever https://www.findknowdo.com/news/12/14/2015/sec-proposes-form-and-manner-sdr-data-reporting2024-01-31T03:13Znever https://www.findknowdo.com/news/12/15/2015/finra-provides-filing-dates-annual-audit-reports2024-04-12T13:04Znever https://www.findknowdo.com/news/12/15/2015/fia-hold-webinar-today-cftc-proposed-regulation-automated-trading2024-04-06T17:47Znever https://www.findknowdo.com/news/12/09/2015/cftc-hold-open-meeting-consider-system-safeguards-and-swaps-margin-rules2024-04-06T17:47Znever https://www.findknowdo.com/news/12/09/2015/finra-proposes-limited-trade-reporting-exemptions-atss2024-04-12T13:05Znever https://www.findknowdo.com/news/12/09/2015/finra-reminds-firms-provide-consolidated-quotes-%28finra-reg.-notice-15-52%292024-04-12T13:05Znever https://www.findknowdo.com/news/12/09/2015/nfa-issues-new-forex-trading-requirements-%28nfa-notice-i-15-29%292024-04-05T19:36Znever https://www.findknowdo.com/news/12/09/2015/energy-metro-desk-reviews-statements-sec-commissioner-aguilar-and-cftc-commissioner-giancarlo2024-04-06T17:47Znever https://www.findknowdo.com/news/12/09/2015/house-financial-services-committee-passes-growth-and-consumer-protection-bills2020-08-24T18:03Znever https://www.findknowdo.com/news/12/16/2015/cftc-adopts-cybersecurity-requirements-dcos-sefs-and-sdrs2024-04-06T17:47Znever https://www.findknowdo.com/news/12/16/2015/sec-investment-management-director-david-grim-outlines-rulemaking-initiatives2020-08-24T20:07Znever https://www.findknowdo.com/news/12/16/2015/investment-management-firms-commit-single-name-cds-clearing2021-06-21T18:57Znever https://www.findknowdo.com/news/12/16/2015/msrb-and-finra-propose-pay-play-regulations2024-04-12T13:04Znever https://www.findknowdo.com/news/12/16/2015/occ-reports-major-risks-faced-national-banks-and-federal-savings-associations2024-04-12T21:44Znever https://www.findknowdo.com/news/12/16/2015/finra-dispute-resolution-task-force-issues-final-recommendations2024-04-12T13:04Znever https://www.findknowdo.com/news/12/16/2015/fdic-reminds-banks-required-procedures-changes-control2024-04-12T19:08Znever https://www.findknowdo.com/news/12/17/2015/finra-proposes-educating-customers-costs-account-transfers2024-04-12T13:04Znever https://www.findknowdo.com/news/12/17/2015/occ-requests-comments-proposed-recovery-plan-guidelines-banks2024-04-12T21:44Znever https://www.findknowdo.com/news/12/17/2015/sec-commissioner-aguilar-addresses-balance-between-modernized-information-gathering-and-cybersecurity-risk2021-03-20T16:47Znever https://www.findknowdo.com/news/12/17/2015/federal-bank-agencies-seek-comments-efforts-reduce-regulatory-burdens2024-04-12T21:44Znever https://www.findknowdo.com/news/12/17/2015/iosco-reports-liquidity-management-tools-collective-investment-schemes2021-01-24T05:09Znever https://www.findknowdo.com/news/12/17/2015/iosco-publication-identifies-financial-stability-issues2021-01-16T19:11Znever https://www.findknowdo.com/news/12/17/2015/finra-names-new-public-board-member2024-04-12T21:30Znever https://www.findknowdo.com/news/12/17/2015/uk-fca-invites-comments-regulation-secondary-trading-financial-instruments-under-mifid-ii2024-02-03T22:40Znever https://www.findknowdo.com/news/12/17/2015/nasaa-launches-senior-focused-web-site2024-02-03T22:51Znever https://www.findknowdo.com/news/12/18/2015/cftc-adopts-amendments-recordkeeping-rules-provide-relief-end-users2024-04-06T17:47Znever https://www.findknowdo.com/news/12/18/2015/cftc-reminds-sds-and-msps-reporting-obligations2024-04-06T17:47Znever https://www.findknowdo.com/news/12/18/2015/sec-reviews-accredited-investor-definition-relating-natural-persons2020-12-15T05:40Znever https://www.findknowdo.com/news/12/18/2015/basel-committee-seeks-avoid-spillover-effects-shadow-banks-banks2024-02-05T17:30Znever https://www.findknowdo.com/news/12/18/2015/cpmi-iosco-seek-comments-guidance-unique-product-identifier2021-01-16T19:11Znever https://www.findknowdo.com/news/12/18/2015/finras-mark-and-commission-requirements-extended-government-securities-transactions2024-02-04T16:33Znever https://www.findknowdo.com/news/12/18/2015/cftc-requests-comments-proposed-automated-trading-rule2024-04-06T17:47Znever https://www.findknowdo.com/news/12/18/2015/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/18/2015/finra-sanctions-firm-supervisory-failures2024-04-12T13:04Znever https://www.findknowdo.com/news/12/18/2015/bank-sanctioned-failure-disclose-conflicts-interest2024-04-06T17:47Znever https://www.findknowdo.com/news/12/18/2015/finra-proposes-revisions-series-9/10-examination-program2024-04-12T13:04Znever https://www.findknowdo.com/news/12/18/2015/frb-approves-final-rule-procedures-emergency-lending-%28fed.-reg.%292026-06-19T18:57Zmonthly https://www.findknowdo.com/news/12/18/2015/finra-announces-results-elections-and-appointments2024-04-12T13:04Znever https://www.findknowdo.com/news/12/22/2015/cftc-issues-no-action-relief-audit-trail-data-requirements-post-trade-allocation-%28cftc-letter-15-68%292024-04-06T17:47Znever https://www.findknowdo.com/news/12/22/2015/cftc-signs-mou-hong-kong-regulator-exempts-hk-dco2024-04-06T17:47Znever https://www.findknowdo.com/news/12/22/2015/iosco-provides-guidance-sound-practices-oversight-market-intermediaries2020-08-24T20:07Znever https://www.findknowdo.com/news/12/22/2015/cftc-requests-comments-reporting-swap-data-elements2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/22/2015/iosco-releases-two-reports-risk-management-and-continuity-planning2021-01-16T19:11Znever https://www.findknowdo.com/news/12/22/2015/sec-settles-charges-financial-services-firm-parking-scheme2020-12-15T03:55Znever https://www.findknowdo.com/news/12/26/2015/finra-proposes-expanding-application-focus-reports-balance-sheet-schedule2024-04-12T13:04Znever https://www.findknowdo.com/news/12/26/2015/cftc-requests-comments-cybersecurity-proposals-%28fed.-reg.%292024-04-06T17:47Znever https://www.findknowdo.com/news/12/26/2015/sec-settles-insider-trading-charges-credit-card-company-employee2020-12-15T03:02Znever https://www.findknowdo.com/news/12/26/2015/cftc-adopts-amendments-recordkeeping-rules-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/26/2015/finra-proposes-new-rules-capital-acquisition-brokers-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/12/26/2015/sec-proposes-rules-requiring-disclosure-payments-resource-extraction-issuers-%28fed.-reg.%292020-12-03T17:49Znever https://www.findknowdo.com/news/12/26/2015/finra-proposal-limits-trade-reporting-exemptions-atss-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/12/26/2015/sec-approves-merger-finra-dispute-resolution-inc.-finra-regulation-inc.-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/12/26/2015/sec-adds-effective-date-regulation-crowdfunding-%28fed.-reg.%292021-01-20T14:12Znever https://www.findknowdo.com/news/12/21/2015/cftc-chair-massad-criticizes-budget-deal2024-04-06T17:47Znever https://www.findknowdo.com/news/12/21/2015/sec-commissioner-aguilar-offers-perspective-regulatory-developments2024-04-06T17:47Znever https://www.findknowdo.com/news/12/21/2015/iosco-highlights-investor-risk-crowdfunding2021-01-20T14:12Znever https://www.findknowdo.com/news/12/21/2015/sifma-proposes-guiding-principles-re-proposals-regulate-incentive-based-compensation2021-01-13T20:39Znever https://www.findknowdo.com/news/12/21/2015/finra-sanctions-firm-sale-unregistered-microcap-shares-and-related-supervisory-and-aml-violations2024-04-12T13:04Znever https://www.findknowdo.com/news/12/21/2015/industry-steering-committee-provides-timeline-t2-implementation2024-01-31T19:32Znever https://www.findknowdo.com/news/12/21/2015/house-representatives-introduce-alternative-dol-fiduciary-proposal2020-12-24T14:55Znever https://www.findknowdo.com/news/12/21/2015/nasaa-reports-top-investor-scams-20152024-02-03T22:51Znever https://www.findknowdo.com/news/12/21/2015/sec-solicits-comments-continuing-education-requirements-security-futures-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/12/28/2015/sec-approves-msrb-conduct-rules-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/12/23/2015/spending-bill-modifies-treasury-affiliate-exemption-swaps-mandatory-clearing2024-04-06T17:47Znever https://www.findknowdo.com/news/12/23/2015/finra-fines-firm-submitting-inaccurate-blue-sheet-data2024-04-12T13:04Znever https://www.findknowdo.com/news/12/28/2015/sec-seeks-comments-msrb-proposal-apply-pay-play-rules-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/12/23/2015/finra-advises-investors-how-pick-a-financial-planner2024-04-12T13:04Znever https://www.findknowdo.com/news/12/23/2015/finra-advises-investors-sblocs2024-04-12T13:04Znever https://www.findknowdo.com/news/12/29/2015/finra-sanctions-investment-bank-mutual-fund-transactions-violations2024-04-12T13:04Znever https://www.findknowdo.com/news/12/29/2015/finra-highlights-regulatory-and-sales-practices-municipal-securities-continuing-education-podcast2024-04-12T13:04Znever https://www.findknowdo.com/news/12/29/2015/cftc-extends-no-action-relief-regional-transmission-organization-%28cftc-letter-15-69%292024-04-06T17:47Znever https://www.findknowdo.com/news/12/29/2015/occ-board-governors-and-fdic-make-annual-adjustments-asset-size-thresholds-under-cra2024-04-12T21:44Znever https://www.findknowdo.com/news/12/30/2015/sec-analyzes-market-volatility-occurring-august-24-20152020-12-15T04:48Znever https://www.findknowdo.com/news/12/30/2015/sifma-provides-notice-banking-regulators-treatment-ccps-variation-margin2021-01-13T20:58Znever https://www.findknowdo.com/news/12/30/2015/finra-responds-concerns-raised-new-securities-helpline-seniors2024-04-12T13:04Znever https://www.findknowdo.com/news/12/30/2015/streetwise-professor-reviews-history-commodity-market-corners2020-12-15T04:33Znever https://www.findknowdo.com/news/12/30/2015/finra-proposes-educating-customers-costs-account-transfers-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/12/30/2015/msrb-proposes-applying-pay-play-rules-municipal-advisors-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/12/30/2015/sec-approves-msrb-conduct-rules-municipal-advisors-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/12/31/2015/gao-report-cites-increased-compliance-burden-dodd-frank-act2024-01-30T19:23Znever https://www.findknowdo.com/news/12/31/2015/sec-permits-electronic-filing-broker-dealer-annual-reports2020-12-15T06:22Znever https://www.findknowdo.com/news/12/31/2015/sec-solicits-comment-transfer-agent-rules-advance-notice-proposed-rulemaking-%28fed.-reg.%292024-01-29T13:30Znever https://www.findknowdo.com/news/12/31/2015/streetwise-professor-argues-spoofing-self-correcting2020-12-15T05:14Znever https://www.findknowdo.com/news/12/31/2015/finra-recommends-6-new-years-resolutions-investors-2016-december-31-20152024-04-12T13:04Znever https://www.findknowdo.com/news/01/04/2016/cftc-proposes-alternative-fingerprinting-foreign-natural-persons2024-04-06T17:47Znever https://www.findknowdo.com/news/01/04/2016/finra-provides-details-paying-bd-and-ia-final-registration-renewal-statements-%28finra-reg.-notice-16-01%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/04/2016/sec-permits-electronic-filing-broker-dealer-annual-reports-%28fed.-reg.%292020-12-15T06:43Znever https://www.findknowdo.com/news/01/04/2016/isda-updates-global-otc-derivatives-compliance-calendar2021-01-15T00:20Znever https://www.findknowdo.com/news/01/05/2016/finra-announces-2016-regulatory-priorities2024-04-12T13:04Znever https://www.findknowdo.com/news/01/05/2016/finra-podcast-recaps-monthly-regulatory-activities2024-04-12T13:04Znever https://www.findknowdo.com/news/01/06/2016/nfa-revises-section-4s-review-process-swap-dealers-and-major-swap-participants2024-04-05T19:36Znever https://www.findknowdo.com/news/01/06/2016/nfa-provides-guidance-forex-dealer-members-risk-management-program2024-04-05T19:36Znever https://www.findknowdo.com/news/01/06/2016/cfpb-report-details-2015-fiscal-year-activities2024-04-12T17:11Znever https://www.findknowdo.com/news/01/06/2016/finra-proposes-extension-expiration-date-application-finra-rules-security-based-swaps2024-04-12T13:04Znever https://www.findknowdo.com/news/01/06/2016/msrb-proposes-shortening-time-close-out-fails2024-04-12T00:21Znever https://www.findknowdo.com/news/01/06/2016/sec-settles-charges-firm-making-misleading-statement-about-broker-compensation2022-08-30T19:10Znever https://www.findknowdo.com/news/01/07/2016/sec-tells-investors-resolve-be-smarter-%28-youtube-selection%292019-04-03T19:07Znever https://www.findknowdo.com/news/01/07/2016/cme-group-adopts-new-exchange-rules-sanctioned-parties2024-04-05T18:43Znever https://www.findknowdo.com/news/01/07/2016/finra-proposes-expanded-application-focus-reports-balance-sheet-schedule-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/07/2016/finra-proposes-revisions-sales-supervisor-examination-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/07/2016/second-circuit-upholds-dismissal-madoff-related-claims-against-bank-executives2022-11-16T00:58Znever https://www.findknowdo.com/news/01/07/2016/sec-requests-comments-proposed-form-and-manner-sdr-data-reporting-%28fed.-reg.%292024-01-31T03:13Znever https://www.findknowdo.com/news/01/08/2016/sifma-supports-seniorafe-act-20152021-01-13T20:54Znever https://www.findknowdo.com/news/01/08/2016/finra-cautions-firms-not-use-finra-logo2024-04-12T13:04Znever https://www.findknowdo.com/news/01/08/2016/cftc-grants-no-action-relief-swap-clearing-requirement-%28cftc-letters-16-01-and-16-02%292024-04-06T17:47Znever https://www.findknowdo.com/news/01/08/2016/sec-makes-third-adjustment-fee-rate-fy20162020-12-04T22:39Znever https://www.findknowdo.com/news/01/08/2016/sec-grants-no-action-relief-fund-seeking-file-post-effective-amendment-registration-statement2021-01-25T01:09Znever https://www.findknowdo.com/news/01/08/2016/sec-settles-steven-.-cohen-charge-failure-supervise2020-12-15T06:38Znever https://www.findknowdo.com/news/01/08/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/11/2016/sec-identifies-areas-heightened-risk-2016-examination-priorities2024-02-12T02:40Znever https://www.findknowdo.com/news/01/11/2016/reg-tracker-january-1-through-january-152021-06-22T18:07Znever https://www.findknowdo.com/news/01/11/2016/msrb-publishes-2015-annual-report2024-04-12T00:21Znever https://www.findknowdo.com/news/01/11/2016/co-chief-enforcement-division-asset-management-unit-leaves-sec2020-12-15T02:59Znever https://www.findknowdo.com/news/01/11/2016/finra-proposes-alternative-trading-system-rule-changes2024-04-12T13:04Znever https://www.findknowdo.com/news/01/12/2016/isda-enhance-oversight-credit-derivatives-market2021-01-15T00:20Znever https://www.findknowdo.com/news/01/12/2016/cftc-requests-comments-alternative-fingerprinting-foreign-natural-persons-%28fed.reg.%292024-04-06T17:47Znever https://www.findknowdo.com/news/01/12/2016/isda-expands-board-directors-and-updates-mission-statement2021-01-15T00:20Znever https://www.findknowdo.com/news/01/12/2016/commissioner-bowen-supports-position-limits2024-04-06T17:47Znever https://www.findknowdo.com/news/01/12/2016/nfa-hold-cybersecurity-workshops2024-04-05T19:36Znever https://www.findknowdo.com/news/01/12/2016/college-savings-plan-network-tuition-programs-qualify-ais-or-qibs2021-01-24T01:18Znever https://www.findknowdo.com/news/01/13/2016/sec-extends-review-period-finras-proposed-data-collection-requirements-tick-size-pilot-program-%28fed.-reg.%292020-12-15T06:43Znever https://www.findknowdo.com/news/01/13/2016/sec-requests-comments-extended-application-finra-rules-security-based-swaps-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/13/2016/sec-approves-new-msrb-rules-non-solicitor-municipal-advisors-%28reg.-notice-16-03%292024-04-12T00:21Znever https://www.findknowdo.com/news/01/13/2016/financial-industry-groups-submit-request-file-amicus-brief-price-manipulation-case2024-04-05T18:43Znever https://www.findknowdo.com/news/01/13/2016/nfa-makes-enhancements-cpo-form-pqr-%28notice-i-16-02%292024-04-05T19:36Znever https://www.findknowdo.com/news/01/13/2016/cftc-settles-charges-non-u.s.-firm-violating-cftc-registration-regulation2024-04-06T17:47Znever https://www.findknowdo.com/news/01/14/2016/finra-and-national-stock-exchange-propose-delineated-regulatory-responsibilities-%28fed.-reg.%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/14/2016/sec-adopts-rules-implement-fast-act-provisions2020-12-04T23:35Znever https://www.findknowdo.com/news/01/14/2016/finra-revises-proposal-establish-margin-requirements-tbas2024-04-12T13:04Znever https://www.findknowdo.com/news/01/14/2016/nfa-submits-bylaws-changes-voting-procedures-and-advisory-committees2024-04-05T19:36Znever https://www.findknowdo.com/news/01/14/2016/finra-extends-review-period-proposal-quotation-information2024-04-12T13:04Znever https://www.findknowdo.com/news/01/14/2016/finra-offers-tips-protecting-financial-information-and-preventing-identity-theft2024-04-12T13:04Znever https://www.findknowdo.com/news/01/14/2016/cftc-technology-advisory-committee-discuss-reg.-swap-data-standardization-and-blockchain2024-04-06T17:47Znever https://www.findknowdo.com/news/01/14/2016/ofr-reports-bilateral-repo-market2022-07-27T19:43Znever https://www.findknowdo.com/news/01/14/2016/cftc-delegates-authority-nfa-notices-concerning-swap-valuation-disputes2024-04-06T17:47Znever https://www.findknowdo.com/news/01/15/2016/ici-comments-secs-liquidity-risk-management-funds-proposal2021-01-24T02:25Znever https://www.findknowdo.com/news/01/15/2016/reg-tracker-january-15-through-january-312021-06-21T18:40Znever https://www.findknowdo.com/news/01/15/2016/nfa-issues-notice-regarding-cpo/cta-exemption-registration2024-04-05T19:36Znever https://www.findknowdo.com/news/01/15/2016/bank-directors-and-officers-charged-inaccurate-reporting-loan-impairment2023-06-10T18:31Znever https://www.findknowdo.com/news/01/19/2016/basel-committee-tightens-capital-requirements-market-risk2024-02-05T17:30Znever https://www.findknowdo.com/news/01/15/2016/finra-dispute-resolution-inc.-merges-finra-regulation-inc.-%28reg.-notice-16-04%292024-04-12T13:04Znever https://www.findknowdo.com/news/01/15/2016/u.s.-agencies-support-basel-committee-guidance-external-audits-banks2024-04-12T19:08Znever https://www.findknowdo.com/news/01/19/2016/sec-awards-whistleblower-original-analysis2024-01-30T02:46Znever https://www.findknowdo.com/news/01/15/2016/cftc-issues-extension-conditional-no-action-relief-swap-reporting-parties2024-04-06T17:47Znever https://www.findknowdo.com/news/01/16/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/19/2016/sec-responds-statutory-changes-sdr-indemnification-requirement2024-01-31T03:13Znever https://www.findknowdo.com/news/01/19/2016/msrb-reminds-registrants-mandatory-testing-under-regulation-sci2024-04-12T00:21Znever https://www.findknowdo.com/news/01/19/2016/nfa-publishes-2015-annual-review2024-04-05T19:36Znever https://www.findknowdo.com/news/01/19/2016/sec-adopts-amendments-rules-implement-fast-act-provisions-%28fed.-reg.%292020-12-04T23:35Znever https://www.findknowdo.com/news/04/25/2016/trade-associations-comment-u.s.-treasury-market-regulation2024-04-02T19:55Znever https://www.findknowdo.com/news/01/20/2016/supreme-court-consider-test-insider-trading2022-11-16T00:58Znever https://www.findknowdo.com/news/01/20/2016/bank-england-staff-find-sefs-reduce-swap-trading-costs2021-07-16T16:13Znever https://www.findknowdo.com/news/01/20/2016/associate-director-leave-sec-division-investment-management2019-04-03T19:07Znever https://www.findknowdo.com/news/01/20/2016/sec-settles-charges-misstated-financial-results-mortgage-service-provider2022-08-30T19:10Znever https://www.findknowdo.com/news/01/20/2016/fdic-vice-chair-hoenig-challenges-fsb-bank-resolution-mandates2024-04-12T19:08Znever https://www.findknowdo.com/news/01/20/2016/national-cattlemens-beef-association-calls-cme-group-decrease-market-volatility-caused-hft2020-12-15T06:50Znever https://www.findknowdo.com/news/01/21/2016/sec-responds-statutory-changes-sdr-indemnification-requirement-%28fed.-reg.%292024-01-31T03:13Znever https://www.findknowdo.com/news/01/21/2016/sec-solicits-comments-revised-finra-proposal-establish-margin-requirements-tbas-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/01/21/2016/cftc-requests-comments-fcm-sd-and-msp-compliance-duties-information-collection-%28fed.-reg.%292024-04-06T17:47Znever https://www.findknowdo.com/news/01/21/2016/cftc-delegates-authority-nfa-notices-concerning-swap-valuation-disputes-%28fed.-reg.%292024-04-06T17:47Znever https://www.findknowdo.com/news/01/21/2016/finra-podcast-highlights-new-and-updated-policies-regarding-options2024-04-12T13:03Znever https://www.findknowdo.com/news/01/21/2016/nfa-issues-interpretive-notice-regarding-new-electronic-filing2024-04-05T19:36Znever https://www.findknowdo.com/news/01/21/2016/nfa-elects-new-members-its-board-directors2024-04-05T19:36Znever https://www.findknowdo.com/news/01/21/2016/sec-investor-committee-urges-fasb-reconsider-materiality-standard-%28-lofchie-youtube-selection%292020-12-15T04:42Znever https://www.findknowdo.com/news/01/23/2016/sec-corporate-finance-director-discusses-cross-border-regulation-issuers-and-offerings2020-12-15T04:30Znever https://www.findknowdo.com/news/01/21/2016/irs-amend-administrative-rules-regarding-certifications-and-reporting-ffis2024-04-04T18:52Znever https://www.findknowdo.com/news/01/22/2016/global-financial-system-committee-provides-analysis-liquidity-fixed-income-market2020-09-28T15:10Znever https://www.findknowdo.com/news/01/22/2016/cftc-opposes-filing-friend-court-brief-price-manipulation-case2024-04-06T17:47Znever https://www.findknowdo.com/news/01/22/2016/iosco-committee-debates-systemic-resilience-current-capital-market-environment2021-01-16T19:11Znever https://www.findknowdo.com/news/01/22/2016/fdic-seeks-comment-proposal-refine-assessments-small-banks-deposit-insurance2024-04-12T19:08Znever https://www.findknowdo.com/news/01/22/2016/cftc-grants-registration-18-sefs2024-04-06T17:47Znever https://www.findknowdo.com/news/01/27/2016/sec-extends-comment-deadline-proposals-disclosure-payments-resource-extraction-issuers-%28fed.-reg.%292020-12-04T23:35Znever https://www.findknowdo.com/news/01/22/2016/cftc-chair-massad-outlines-recent-actions-and-2016-priorities2024-04-06T17:47Znever https://www.findknowdo.com/news/01/22/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/25/2016/ici-chief-economist-criticizes-secs-method-measuring-mutual-fund-liquidity2021-06-18T19:10Znever https://www.findknowdo.com/news/01/25/2016/sec-requests-comment-paperwork-associated-fast-act-amendments-emerging-growth-companies2020-12-04T23:35Znever https://www.findknowdo.com/news/01/25/2016/finra-makes-changes-ats-reporting-requirements-%28fed.-reg.%292020-12-15T03:17Znever https://www.findknowdo.com/news/01/25/2016/finra-proposes-delaying-no-remuneration-indicator-trace-reports2024-04-12T13:03Znever https://www.findknowdo.com/news/01/25/2016/cftc-chair-massad-details-progress-reform-derivatives-marketplace2024-04-06T17:46Znever https://www.findknowdo.com/news/01/26/2016/nfa-updates-regulatory-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/01/26/2016/nfa-penalizes-introducing-broker-multiple-failures2024-04-05T19:36Znever https://www.findknowdo.com/news/01/26/2016/sec-enforcement-director-reports-progress-financial-reporting-and-disclosure2020-12-15T02:47Znever https://www.findknowdo.com/news/01/26/2016/finra-reminds-members-electronic-filing-option-annual-reports-%28finra-reg.-notice-16-05%292024-04-12T13:03Znever https://www.findknowdo.com/news/01/27/2016/finra-podcast-focuses-new-rules-debt-research2024-04-12T13:03Znever https://www.findknowdo.com/news/01/27/2016/streetwise-professor-critiques-boe-staff-working-paper2021-06-24T14:50Znever https://www.findknowdo.com/news/01/27/2016/energy-metro-desk-publisher-questions-likelihood-filling-vacancies-cftc-commission2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/27/2016/nasaa-proposes-model-rule-and-uniform-notice-filing-form2024-02-03T22:51Znever https://www.findknowdo.com/news/01/27/2016/cftc-signs-mou-german-regulators2024-04-06T17:46Znever https://www.findknowdo.com/news/01/27/2016/ofr-summarizes-potential-threats-u.s.-financial-stability2022-07-27T19:43Znever https://www.findknowdo.com/news/01/28/2016/sec-charges-ceo-misappropriating-investor-funds2020-12-15T03:48Znever https://www.findknowdo.com/news/01/28/2016/finra-requests-comments-proposed-funding-portal-rules-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/01/28/2016/hedge-fund-manager-settles-charges-and-reimburses-investors2022-08-30T19:05Znever https://www.findknowdo.com/news/01/28/2016/academics-deconstruct-flash-crash-20102021-06-21T17:46Znever https://www.findknowdo.com/news/01/29/2016/nyse-proposes-actions-improve-stability-exchange-markets2020-12-15T06:06Znever https://www.findknowdo.com/news/01/29/2016/msrb-revises-general-securities-sales-supervisor-examination-%28msrb-reg.-notice-16-05%292024-04-12T00:21Znever https://www.findknowdo.com/news/01/29/2016/finra-issues-notices-describing-fund-portal-rules-%28finra-reg.-notices-16-06-and-16-07%292024-04-12T13:03Znever https://www.findknowdo.com/news/01/29/2016/sec-hold-equity-market-structure-advisory-committee-meeting2020-12-03T11:45Znever https://www.findknowdo.com/news/01/29/2016/occ-and-frb-release-new-stress-test-scenarios2024-04-12T21:44Znever https://www.findknowdo.com/news/01/29/2016/fia-ptg-supports-exclusion-certain-swaps-de-minimis-calculation2024-04-06T17:46Znever https://www.findknowdo.com/news/01/29/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/01/2016/reg-tracker-february-1-through-february-152021-06-22T20:36Znever https://www.findknowdo.com/news/02/01/2016/cftc-requests-comments-icrs-under-omb-review-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/01/2016/cftc-chair-massad-cites-progress-commodity-market-regulation2024-04-06T17:46Znever https://www.findknowdo.com/news/02/01/2016/senator-warren-highlights-20-cases-feeble-enforcement-against-corporate-criminals-20152024-01-31T19:32Znever https://www.findknowdo.com/news/02/01/2016/sec-hits-two-dark-pool-operators-largest-ever-penalties2020-12-15T06:51Znever https://www.findknowdo.com/news/02/01/2016/sec-approves-ise-holdings-application-third-options-exchange2021-06-22T20:32Znever https://www.findknowdo.com/news/02/01/2016/msrb-recaps-recent-municipal-regulatory-developments2024-04-12T00:21Znever https://www.findknowdo.com/news/02/02/2016/aima-responds-european-commission-request-more-support-non-bank-finance2022-11-15T02:35Znever https://www.findknowdo.com/news/02/02/2016/streetwise-professor-says-ofr-annual-report-misses-real-problems-ccps2024-01-31T02:35Znever https://www.findknowdo.com/news/02/05/2016/federal-reserve-system-board-extends-comment-period-proposal-improve-resolvability-and-resiliency-large-banking-organizations-%28fed.-reg.%292024-04-12T21:30Znever https://www.findknowdo.com/news/02/02/2016/house-passes-bill-include-municipal-bonds-under-liquidity-coverage-ratio-rule2024-02-04T16:33Znever https://www.findknowdo.com/news/02/02/2016/cftc-approves-registration-eurex-clearing-ag-dco2024-04-06T17:46Znever https://www.findknowdo.com/news/02/02/2016/nasaa-adopts-model-act-protect-vulnerable-seniors2024-02-03T22:51Znever https://www.findknowdo.com/news/02/03/2016/sec-equity-market-structure-advisory-committee-discusses-market-volatility-%28-delta-group-summary%292022-11-19T19:43Znever https://www.findknowdo.com/news/02/02/2016/sec-and-finra-open-registration-regional-broker-dealer-program-compliance2024-04-12T13:03Znever https://www.findknowdo.com/news/02/02/2016/sec-settles-charges-against-municipal-underwriters-disclosure-violations-municipal-bond-offerings2024-02-04T16:33Znever https://www.findknowdo.com/news/02/02/2016/software-company-charged-fcpa-violations2023-06-10T15:19Znever https://www.findknowdo.com/news/02/03/2016/cftc-authorizes-nfa-receive-notices-large-swap-valuation-disputes2024-04-06T17:46Znever https://www.findknowdo.com/news/02/04/2016/fca-urges-ceos-review-company-compliance-cfd-products2022-12-03T16:44Znever https://www.findknowdo.com/news/02/04/2016/sec-settles-hacked-news-release-scheme-ukrainian-trader2020-12-15T06:37Znever https://www.findknowdo.com/news/02/03/2016/sec-finds-good-cause-granting-waivers-mcdc-underwriters2020-12-15T03:45Znever https://www.findknowdo.com/news/02/03/2016/sec-names-new-deputy-director-ocie2019-04-03T19:07Znever https://www.findknowdo.com/news/02/03/2016/sec-enforcement-division-associate-director-testifies-eb-5-immigrant-investor-program2024-02-12T02:40Znever https://www.findknowdo.com/news/02/03/2016/finra-podcast-recaps-january-2016-activities2024-04-12T13:03Znever https://www.findknowdo.com/news/02/04/2016/sifma-amg-and-iaa-request-relief-foreign-intermediaries-cftc-oversight2021-01-13T20:58Znever https://www.findknowdo.com/news/02/04/2016/cftc-commissioner-bowen-assesses-safety-derivatives-market2024-04-06T17:46Znever https://www.findknowdo.com/news/02/04/2016/senator-roberts-demands-explanation-cftcs-misguided-accounting-practices2021-06-22T17:48Znever https://www.findknowdo.com/news/02/04/2016/sec-names-members-advisory-committee-small-and-emerging-companies2019-04-03T19:07Znever https://www.findknowdo.com/news/02/04/2016/msrb-proposes-board-membership-amendments2024-04-12T00:21Znever https://www.findknowdo.com/news/02/05/2016/cftc-requests-comments-swap-portfolio-icr-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/05/2016/nasaa-updates-examinations2024-02-03T22:51Znever https://www.findknowdo.com/news/02/05/2016/cftc-chair-massad-cites-progress-containing-risk2024-04-06T17:46Znever https://www.findknowdo.com/news/02/05/2016/cpmi-and-iosco-set-forth-expectations-ccp-clearing-fx-instruments2024-01-31T02:35Znever https://www.findknowdo.com/news/02/05/2016/cftc-commissioner-giancarlo-discusses-six-mega-trends-facing-financial-markets2024-04-06T17:46Znever https://www.findknowdo.com/news/02/05/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/08/2016/sec-requests-comments-delaying-implementation-date-a-trace-report-no-remuneration-indicator-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/02/08/2016/cftc-reschedules-technology-advisory-committee-meeting-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/08/2016/cftc-permits-direct-interaction-between-korea-exchange-members-and-u.s.-customers2024-04-06T17:46Znever https://www.findknowdo.com/news/02/10/2016/cpmi-iosco-hold-workshop-global-standard-derivatives2021-01-16T19:11Znever https://www.findknowdo.com/news/02/09/2016/finra-warns-investors-beware-spurious-high-yield-cd-offers2024-04-12T13:03Znever https://www.findknowdo.com/news/02/09/2016/finra-reminds-broker-dealers-contingency-offering-compliance-obligations-%28finra-reg.-notice-16-08%292024-04-12T13:03Znever https://www.findknowdo.com/news/02/09/2016/president-obama-calls-doubling-cftc-and-sec-funding-over-five-years2021-06-22T18:01Znever https://www.findknowdo.com/news/02/09/2016/president-obama-directs-implementation-national-cybersecurity-plan2021-03-20T16:47Znever https://www.findknowdo.com/news/02/09/2016/finra-proposes-rules-reduce-synchronization-tolerances-clocks-record-nms-events2024-04-12T13:03Znever https://www.findknowdo.com/news/02/10/2016/sec-clarifies-ready-market-foreign-equity-securities-under-net-capital-rule2024-02-08T02:29Znever https://www.findknowdo.com/news/02/10/2016/sec-names-associate-regional-directors-l..-office2019-04-03T19:07Znever https://www.findknowdo.com/news/02/10/2016/cftc-and-eu-reach-agreement-regulation-ccps-%28-delta-strategy-group-summary%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/10/2016/sec-settles-accounting-violations-charges-against-agribusiness2022-12-03T14:10Znever https://www.findknowdo.com/news/02/10/2016/sec-provides-guidance-edgar-abs-filings2021-06-22T20:50Znever https://www.findknowdo.com/news/02/10/2016/eu-announces-one-year-extension-mifid-ii2022-12-03T16:44Znever https://www.findknowdo.com/news/02/10/2016/cfpb-fixes-typo-supplementary-information-tila-respa-final-rule2024-04-12T17:11Znever https://www.findknowdo.com/news/02/11/2016/vice-chair-stanley-fischer-discusses-function-federal-reserve-lender-last-resort2024-04-12T21:30Znever https://www.findknowdo.com/news/02/10/2016/cftc-chair-massad-sets-2016-priorities2024-04-06T17:46Znever https://www.findknowdo.com/news/02/10/2016/cftc-breaks-down-fy-2017-budget-request-%28-delta-strategy-group-summary%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/10/2016/sec-adopts-amended-cross-border-rule-concerning-ane-transactions-%28-delta-strategy-group-summary%292019-04-03T19:07Znever https://www.findknowdo.com/news/02/11/2016/cftc-grants-exemption-krx-members-fcm-registration-requirement-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/11/2016/cfpb-hold-consumer-advisory-board-meeting2024-04-12T17:11Znever https://www.findknowdo.com/news/02/11/2016/finra-bars-two-fraud-hedge-fund-sale2024-04-12T13:03Znever https://www.findknowdo.com/news/02/11/2016/cftc-eemac-consider-swap-dealer-de-minimis-exception-report-upcoming-meeting2024-04-06T17:46Znever https://www.findknowdo.com/news/02/11/2016/cftc-grants-time-limited-relief-a-dco-daily-position-reporting-rules-%28cftc-letter-16-06%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/11/2016/federal-reserve-board-announces-actions-rules-transferring-authority-cfpb2024-04-12T21:30Znever https://www.findknowdo.com/news/02/11/2016/cftc-grants-no-action-relief-cpo/cta-registration-%28cftc-letter-16-07%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/11/2016/finra-proposes-amendments-finra-oats-reporting-requirements2024-04-12T13:03Znever https://www.findknowdo.com/news/02/16/2016/finra-proposes-requiring-registration-algorithmic-traders2024-04-12T13:03Znever https://www.findknowdo.com/news/02/12/2016/legislators-say-doomsday-predictions-about-proposed-conflicts-rule-are-odds-industry-assurances-investors2024-01-30T18:17Znever https://www.findknowdo.com/news/02/12/2016/nfa-reminds-members-upcoming-cybersecurity-deadline-%28notice-i-15-23%292024-04-05T19:36Znever https://www.findknowdo.com/news/02/12/2016/sifma-expresses-concerns-finras-proposed-tba-margin-requirements2022-08-30T19:10Znever https://www.findknowdo.com/news/02/12/2016/cftc-designates-nfa-recipient-sdr-data2024-04-06T17:46Znever https://www.findknowdo.com/news/02/12/2016/finra-podcast-firm-element-training-recaps-rule-updates2024-04-12T13:03Znever https://www.findknowdo.com/news/02/12/2016/occ-updates-comptroller-handbook-installment-lending-and-country-risk-management2024-04-12T21:44Znever https://www.findknowdo.com/news/02/12/2016/cftc-issues-limited-no-action-relief-registration-non-u.s.-ibs-cpos-and-ctas2024-04-06T17:46Znever https://www.findknowdo.com/news/02/12/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/16/2016/sec-approves-finra-proposal-expand-application-focus-reports-balance-sheet-schedule-%28fed.-reg.%292020-12-15T05:12Znever https://www.findknowdo.com/news/02/16/2016/cftc-designates-nfa-recipient-sdr-data-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/16/2016/sec-offers-guidance-investors-crowdfunding2021-01-20T14:12Znever https://www.findknowdo.com/news/02/16/2016/federal-reserve-bank-minneapolis-president-calls-end-too-big-fail-banks2024-04-12T21:30Znever https://www.findknowdo.com/news/02/16/2016/reg-tracker-february-15-through-february-292021-01-06T15:34Znever https://www.findknowdo.com/news/02/16/2016/sec-investor-advocate-comments-nasdaq-shareholder-approval-rules2023-04-24T22:42Znever https://www.findknowdo.com/news/02/16/2016/sec-settles-charges-fcpa-violations-against-tech-company-and-chinese-subsidiaries2023-06-10T15:19Znever https://www.findknowdo.com/news/02/17/2016/nfa-conduct-webinar-dashboard-online-registration-system2024-04-05T19:36Znever https://www.findknowdo.com/news/02/17/2016/vermont-seeks-comments-establishing-comprehensive-rules-sale-securities-state2022-11-13T21:10Znever https://www.findknowdo.com/news/02/17/2016/sec-sanctions-research-analyst-reg-ac-certification-violation2020-12-15T05:11Znever https://www.findknowdo.com/news/02/17/2016/fdic-proposes-recordkeeping-requirements-large-banks-timely-deposit-insurance-determination2024-04-12T19:07Znever https://www.findknowdo.com/news/02/17/2016/next-meeting-secs-advisory-committee-small-and-emerging-companies2020-12-04T23:35Znever https://www.findknowdo.com/news/02/17/2016/sec-extends-consideration-employee-trading-rule-%28fed.-reg.%292020-12-15T04:51Znever https://www.findknowdo.com/news/02/17/2016/sec-names-daniel-kahl-chief-counsel-office-compliance-inspections-and-examinations2019-04-03T19:07Znever https://www.findknowdo.com/news/02/17/2016/finra-offers-tips-avoiding-pump-and-dump-schemes2024-04-12T13:03Znever https://www.findknowdo.com/news/02/17/2016/msrb-pay-play-rules-will-soon-apply-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/02/18/2016/cftc-staff-extends-request-comments-draft-swap-data-technical-specifications2024-04-06T17:46Znever https://www.findknowdo.com/news/02/18/2016/cftc-issues-no-action-relief-certain-end-users-trade-option-filing-requirement-%28cftc-letter-16-10%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/18/2016/agencies-propose-orderly-liquidation-rule-covered-broker-dealers2024-04-12T19:07Znever https://www.findknowdo.com/news/02/18/2016/members-congress-urge-treasury-investigate-potential-purchase-stock-exchange-chinese-buyer2020-12-15T04:48Znever https://www.findknowdo.com/news/02/18/2016/msrb-requests-comment-proposed-guidance-prevailing-market-price-%28msrb-notice-16-07%292024-04-12T00:21Znever https://www.findknowdo.com/news/02/18/2016/cftc-extends-no-action-relief-regional-transmission-organization-%28cftc-letter-16-09%292024-04-06T17:46Znever https://www.findknowdo.com/news/02/18/2016/federal-reserve-board-repeals-regulation-aa-%28fed.-reg.%292024-04-12T21:30Znever https://www.findknowdo.com/news/02/18/2016/finra-seeks-delay-implementation-debt-research-rule2024-04-12T13:03Znever https://www.findknowdo.com/news/02/18/2016/sifma-issues-report-electronic-bond-trading-platforms2021-01-13T20:39Znever https://www.findknowdo.com/news/02/18/2016/federal-reserve-board-solicits-comments-implementation-fast-act-dividend-provisions2024-04-12T21:30Znever https://www.findknowdo.com/news/02/19/2016/finra-quarterly-review-podcast-highlights-cases-misconduct2024-04-12T13:03Znever https://www.findknowdo.com/news/02/19/2016/sec-grants-exchanges-limited-exemption-data-collection-requirements-under-tick-size-requirements2020-12-04T22:39Znever https://www.findknowdo.com/news/02/19/2016/sec-chair-white-embraces-regulatory-initiatives-beyond-disclosure2020-12-03T18:37Znever https://www.findknowdo.com/news/02/19/2016/nfa-elects-board-executives-and-public-directors2024-04-05T19:36Znever https://www.findknowdo.com/news/02/19/2016/msrb-issues-new-guide-outlining-ways-buy-municipal-bonds2024-04-12T00:21Znever https://www.findknowdo.com/news/02/19/2016/sec-adopts-amended-cross-border-rule-concerning-ane-transactions-%28fed.-reg.%292020-12-04T02:13Znever https://www.findknowdo.com/news/02/19/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/22/2016/sec-commissioner-stein-offers-regulatory-priorities2021-01-24T03:12Znever https://www.findknowdo.com/news/02/19/2016/sec-investor-advocate-says-nyse-listing-standards-spiraling-downwards-falling-leaves-buttonwood-tree2023-04-24T22:42Znever https://www.findknowdo.com/news/02/19/2016/doj-and-sec-announce-significant-global-fcpa-settlement2024-04-03T19:50Znever https://www.findknowdo.com/news/02/22/2016/ny-fed-reappoints-president-and-vice-president2024-04-12T21:30Znever https://www.findknowdo.com/news/02/22/2016/finra-sanctions-brokers-and-supervisor-manipulative-trading-scheme2024-04-12T13:03Znever https://www.findknowdo.com/news/02/22/2016/iosco-addresses-emerging-challenges-global-securities-markets2022-08-30T19:05Znever https://www.findknowdo.com/news/02/22/2016/banking-agencies-issue-interim-final-rule-fast-act-provision2024-04-12T21:44Znever https://www.findknowdo.com/news/02/22/2016/sifma-advocates-financial-services-regulatory-coordination-ttip2021-06-22T14:40Znever https://www.findknowdo.com/news/02/22/2016/cftc-eemac-hold-public-meeting2024-04-06T17:46Znever https://www.findknowdo.com/news/02/22/2016/cftc-host-public-roundtable-residual-interest-deadline2024-04-06T17:46Znever https://www.findknowdo.com/news/02/23/2016/sec-extends-comment-deadline-transfer-agent-regulations-%28fed.-reg.%292024-01-29T13:30Znever https://www.findknowdo.com/news/02/23/2016/cftc-eemac-consider-report-swap-dealer-de-minimis-exception2024-04-06T17:46Znever https://www.findknowdo.com/news/02/23/2016/msrb-modernizes-pricing-formula-municipal-securities-periodic-interest-payments-%28msrb-reg.-notice-2016-08%292024-04-12T00:21Znever https://www.findknowdo.com/news/02/24/2016/financial-services-associations-comment-total-loss-absorbency-requirement-g-sibs2021-01-13T20:54Znever https://www.findknowdo.com/news/02/25/2016/finra-proposes-change-nasdaq-trade-facility-reporting-fee2024-04-12T13:03Znever https://www.findknowdo.com/news/02/24/2016/sec-seeks-comment-finra-proposal-require-registration-algorithmic-traders-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/02/24/2016/energy-metro-desk-warns-storm-brewing-among-sdrs2024-02-04T04:28Znever https://www.findknowdo.com/news/02/24/2016/cftc-grants-exemptive-relief-two-cpos-annual-auditing-requirement2024-04-06T17:46Znever https://www.findknowdo.com/news/02/24/2016/isda-compares-u.s.-and-eu-derivatives-trading-regulation2021-01-15T00:20Znever https://www.findknowdo.com/news/02/24/2016/bats-adopts-expedited-suspension-process-disruptive-traders2020-12-15T06:38Znever https://www.findknowdo.com/news/02/25/2016/fsoc-discuss-market-developments-and-asset-management2022-07-27T18:55Znever https://www.findknowdo.com/news/02/25/2016/msrb-reminds-dealers-obligations-first-compliance-advisory2024-04-12T00:21Znever https://www.findknowdo.com/news/02/25/2016/cftc-director-data-and-technology-outlines-initiatives-data-reporting2024-04-06T17:46Znever https://www.findknowdo.com/news/02/25/2016/finra-asks-members-submit-information-firm-culture2024-04-12T13:03Znever https://www.findknowdo.com/news/02/25/2016/cftc-requests-comment-order-permitting-portfolio-margining-futures-foreign-futures-contracts-and-cleared-swaps-contracts2024-04-06T17:46Znever https://www.findknowdo.com/news/02/25/2016/senate-committee-majority-report-says-dol-fiduciary-rulemaking-emphasizes-speed-over-care2020-12-15T06:40Znever https://www.findknowdo.com/news/02/26/2016/finra-proposes-amendments-finra-oats-reporting-requirements-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/02/26/2016/finra-proposal-better-align-nms-computer-clocks-published-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/02/26/2016/iosco-issues-second-review-implementation-principles-financial-benchmarks2021-01-16T19:11Znever https://www.findknowdo.com/news/02/26/2016/firm-requests-relief-permit-introduction-etmfs2021-01-24T03:12Znever https://www.findknowdo.com/news/02/26/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/26/2016/senator-warren-asks-cftc-withdraw-eemac-report-position-limits2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/29/2016/finra-requests-comments-proposed-coordination-msrb-enforcement-actions-and-examinations2024-04-12T13:03Znever https://www.findknowdo.com/news/02/29/2016/nfa-authorized-receive-notices-swap-valuation-disputes2024-04-06T17:46Znever https://www.findknowdo.com/news/02/29/2016/nfa-establishes-requirements-information-systems-security-programs-%28nfa-interpretive-notice-9070%292024-04-05T19:36Znever https://www.findknowdo.com/news/02/29/2016/nfa-sanctions-firm-deceptive-practices-and-submitting-false-information2024-04-05T19:36Znever https://www.findknowdo.com/news/02/29/2016/mfa-and-aima-commend-sec-shedding-light-dark-pools-reg-ats-proposal2024-02-03T18:37Znever https://www.findknowdo.com/news/02/29/2016/finra-approves-proposal-requiring-enhanced-price-disclosure-retail-investors2024-04-12T13:03Znever https://www.findknowdo.com/news/03/01/2016/banking-agencies-request-comment-fast-act-provision-published-%28fed.-reg.%292024-04-12T21:44Znever https://www.findknowdo.com/news/03/01/2016/nfa-cybersecurity-policies-and-procedures-now-effective2024-04-05T19:36Znever https://www.findknowdo.com/news/03/01/2016/house-bill-offers-regulatory-relief-traditional-banks2021-06-22T15:10Znever https://www.findknowdo.com/news/03/01/2016/cftc-grants-exemptive-relief-cpos-annual-reporting-and-auditing-requirements2024-04-06T17:46Znever https://www.findknowdo.com/news/03/01/2016/bank-regulators-offer-guidance-funds-transfer-pricing2024-04-12T21:44Znever https://www.findknowdo.com/news/03/01/2016/reg-tracker-march-1-through-march-152021-01-06T15:33Znever https://www.findknowdo.com/news/03/01/2016/federal-jury-finds-brokers-liable-sec-insider-trading-case2021-01-16T00:19Znever https://www.findknowdo.com/news/03/02/2016/sec-settles-fcpa-charges-company-hired-chinese-officials-relatives-secure-business2020-12-15T06:22Znever https://www.findknowdo.com/news/03/02/2016/iosco-staff-report-examines-potential-risks-and-key-trends-global-financial-markets2021-01-16T19:11Znever https://www.findknowdo.com/news/03/02/2016/fdic-hold-webinar-cybersecurity-resources2024-04-12T19:07Znever https://www.findknowdo.com/news/03/02/2016/msrb-extends-effective-date-amended-rule-transaction-reporting-%28msrb-notice-2016-09%292024-04-12T00:21Znever https://www.findknowdo.com/news/03/02/2016/sec-commissioner-piwowar-discusses-securitization-and-big-short2024-01-31T14:59Znever https://www.findknowdo.com/news/03/03/2016/fdic-and-sec-request-comment-proposed-orderly-liquidation-rule-covered-broker-dealers-%28fed.-reg.%292024-04-12T19:07Znever https://www.findknowdo.com/news/03/03/2016/sec-solicits-comment-finra-proposal-change-nasdaq-trade-facility-reporting-fee-%28fed.-reg.%292024-04-12T13:03Znever https://www.findknowdo.com/news/03/03/2016/fsoc-votes-not-rescind-enhanced-prudential-standards-metlife2024-04-02T19:55Znever https://www.findknowdo.com/news/03/03/2016/msrb-releases-2015-fact-book-trading-volume-continues-fall2024-04-12T00:21Znever https://www.findknowdo.com/news/03/03/2016/senate-subcommittee-holds-hearing-equity-market-structure-%28-delta-strategy-summary%292022-11-19T19:43Znever https://www.findknowdo.com/news/03/03/2016/cfpb-adopts-rule-establish-whats-rural-%28fed.-reg.%292024-04-12T17:11Znever https://www.findknowdo.com/news/03/03/2016/democrats-ask-sec-act-proposal-greater-disclosure-diversity-boards-public-companies2022-08-30T19:05Znever https://www.findknowdo.com/news/03/03/2016/finra-recaps-activity-february-20162024-04-12T13:03Znever https://www.findknowdo.com/news/03/03/2016/cftc-holds-roundtable-regarding-residual-interest-deadline-%28-delta-strategy-group-summary%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/03/2016/nfa-adds-cybersecurity-section-fcm-ib-cpo-and-cta-regulatory-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/03/04/2016/finra-requests-comments-proposed-amendments-supporting-t2-settlement-cycle2024-04-12T13:03Znever https://www.findknowdo.com/news/03/04/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/04/2016/academics-investigate-financial-adviser-industry-misconduct2021-06-23T18:57Znever https://www.findknowdo.com/news/03/09/2016/swap-dealers-stand-accused-conspiring-prevent-electronic-trading-interest-rate-swaps2020-12-15T05:53Znever https://www.findknowdo.com/news/03/04/2016/sec-director-investment-management-reviews-developments-vital-areas-asset-management2021-01-24T05:08Znever https://www.findknowdo.com/news/03/04/2016/federal-banking-agencies-adopt-rules-examination-schedule-idis-%28fed.-reg.%292024-04-12T19:07Znever https://www.findknowdo.com/news/03/04/2016/senator-warren-argues-regulatory-scales-tilted-undue-industry-influence2019-11-01T17:03Znever https://www.findknowdo.com/news/03/04/2016/agencies-issue-faq-clarify-capital-treatment-collateralized-debt-obligations2024-04-12T21:44Znever https://www.findknowdo.com/news/03/04/2016/banking-agencies-issue-advisory-regarding-use-evaluations-certain-real-estate-transactions2024-04-12T21:29Znever https://www.findknowdo.com/news/03/07/2016/sec-solicits-comments-finra-proposed-rule-require-atss-submit-ats-specific-order-information2024-04-12T13:03Znever https://www.findknowdo.com/news/03/07/2016/financial-services-committee-approves-due-process-restoration-act-20152019-04-03T18:43Znever https://www.findknowdo.com/news/03/07/2016/frb-requests-comments-proposed-single-counterparty-credit-limits2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/07/2016/white-house-press-secretary-earnest-praises-wall-street-reforms2019-12-19T22:25Znever https://www.findknowdo.com/news/03/07/2016/ice-futures-exchange-amends-aggregation-rule2020-12-15T06:35Znever https://www.findknowdo.com/news/03/07/2016/sec-grants-exemption-bats-certain-quoting-and-trading-requirements-under-tick-size-pilot-program2026-04-15T20:41Zyearly https://www.findknowdo.com/news/03/08/2016/cftc-chair-massad-reports-progress-transatlantic-ccps-swap-margin-rules-and-cybersecurity2024-04-06T17:46Znever https://www.findknowdo.com/news/03/07/2016/president-obama-announces-nominations-two-cftc-commissioners2021-06-18T20:51Znever https://www.findknowdo.com/news/03/07/2016/finra-answers-additional-questions-about-equity-and-debt-research-rules2024-04-12T13:03Znever https://www.findknowdo.com/news/03/08/2016/fia-urges-further-consideration-approval-registration-application-investors-exchange-llc2021-01-13T19:23Znever https://www.findknowdo.com/news/03/08/2016/cfpb-now-accepting-consumer-complaints-about-online-marketplace-lenders2024-04-12T17:11Znever https://www.findknowdo.com/news/03/08/2016/president-obama-declares-wall-street-reform-success2020-12-15T06:29Znever https://www.findknowdo.com/news/03/08/2016/sec-names-managing-executive-ocie2020-12-15T05:16Znever https://www.findknowdo.com/news/03/08/2016/sec-announces-new-office-risk-and-strategy-within-ocie2019-04-03T19:07Znever https://www.findknowdo.com/news/03/08/2016/fdic-chair-gruenberg-says-financial-industry-better-prepared-address-economic-challenges2024-04-12T19:07Znever https://www.findknowdo.com/news/03/08/2016/streetwise-professor-argues-synergies-clearing-are-pushing-exchange-consolidation2024-01-31T02:35Znever https://www.findknowdo.com/news/03/08/2016/federal-reserve-bank-chicago-senior-policy-specialist-warns-ccps-concentrate-risk2024-04-12T21:29Znever https://www.findknowdo.com/news/03/09/2016/senate-committee-banking-housing-and-urban-affairs-hold-hearing-sec-nominations2021-06-18T18:24Znever https://www.findknowdo.com/news/03/09/2016/federal-court-finds-defendant-liable-violating-cftc-ban-trading-binary-options-exchange2024-04-06T17:46Znever https://www.findknowdo.com/news/03/09/2016/sec-hands-out-more-awards-whistleblowers2024-01-30T02:46Znever https://www.findknowdo.com/news/03/09/2016/cftc-penalizes-fcm-inaccurately-reporting-fixed-price-cash-position2024-04-06T17:46Znever https://www.findknowdo.com/news/03/09/2016/fund-urges-sec-rectify-competitive-imbalance-between-national-securities-exchanges-and-atss2020-12-03T16:22Znever https://www.findknowdo.com/news/03/09/2016/cfpb-cites-compliance-violations-report-recent-supervisory-activities2024-04-12T17:11Znever https://www.findknowdo.com/news/03/10/2016/sec-permits-fund-operate-etf-etfs2021-01-24T03:13Znever https://www.findknowdo.com/news/03/10/2016/sec-opens-registration-national-investment-adviser-senior-officer-seminar2021-06-22T20:16Znever https://www.findknowdo.com/news/03/10/2016/largest-california-water-district-agrees-pay-fee-misleading-investors2024-02-05T01:50Znever https://www.findknowdo.com/news/03/10/2016/sec-warns-against-government-impersonators-and-disseminators-false-information-microcap-stocks2020-12-16T21:53Znever https://www.findknowdo.com/news/03/10/2016/nfa-provides-guidance-initial-margin-models-swaps2024-04-05T19:36Znever https://www.findknowdo.com/news/03/10/2016/sec-names-new-co-chief-division-asset-management2020-12-23T23:22Znever https://www.findknowdo.com/news/03/11/2016/finra-summarizes-finras-2016-election-process2024-04-12T13:03Znever https://www.findknowdo.com/news/03/11/2016/cfpb-director-cites-improved-consumer-financial-markets2024-04-12T17:11Znever https://www.findknowdo.com/news/03/11/2016/cftc-makes-technical-corrections-its-general-and-registration-rules-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/11/2016/finra-consider-improvements-based-membership-rule-review2024-04-12T13:03Znever https://www.findknowdo.com/news/03/11/2016/market-participants-encourage-sec-improve-equity-market-structure-rules2021-06-18T20:29Znever https://www.findknowdo.com/news/03/11/2016/cftc-commissioner-giancarlo-withdraws-eemac-report-position-limits2024-04-06T17:46Znever https://www.findknowdo.com/news/03/11/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/14/2016/cabinet-unveils-new-regulatory-tracking-tool2019-04-03T19:07Znever https://www.findknowdo.com/news/03/14/2016/ici-recommends-ways-prevent-unintended-processing-fees-web-delivery-fund-reports2021-11-25T22:48Znever https://www.findknowdo.com/news/03/14/2016/msrb-releases-faqs-and-content-outline-municipal-advisors-series-50-exam2024-04-12T00:21Znever https://www.findknowdo.com/news/03/14/2016/cftc-commissioner-giancarlo-warns-threat-posed-increasing-ill-conceived-regulatory-burdens2024-04-06T17:46Znever https://www.findknowdo.com/news/03/14/2016/nasaa-discuss-enforcement-and-deterrence-2016-public-policy-conference2024-02-03T22:51Znever https://www.findknowdo.com/news/03/14/2016/sec-settles-charges-against-advisory-firms-breach-fiduciary-duty-and-compliance-violations2022-01-04T01:05Znever https://www.findknowdo.com/news/03/14/2016/occ-proposes-removal-outdated-rule-provisions-national-banks-and-federal-savings-associations2024-04-12T21:44Znever https://www.findknowdo.com/news/03/14/2016/retail-foreign-exchange-dealer-fined-violating-cftc-capital-requirements2024-04-06T17:46Znever https://www.findknowdo.com/news/03/14/2016/sec-investment-management-director-provides-updates-liquidity-risk-cyber-security-and-material-risk-disclosure2022-08-30T19:08Znever https://www.findknowdo.com/news/03/14/2016/cftc-provides-relief-sefs-swap-trade-confirmation-requirements2024-04-06T17:46Znever https://www.findknowdo.com/news/03/14/2016/streetwise-professor-warns-ccp-mandates-are-creating-liquidity-risk-and-systemic-stress2024-01-31T02:35Znever https://www.findknowdo.com/news/03/15/2016/sec-exemption-fund-operate-etf-etfs-published-federal-register2021-01-24T03:13Znever https://www.findknowdo.com/news/03/15/2016/sec-requests-comments-proposed-msrb-modernization-pricing-formula-municipal-securities-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/03/15/2016/cftc-specifies-delivery-method-ceo-attestations2024-04-06T17:46Znever https://www.findknowdo.com/news/03/15/2016/sec-approves-finra-and-ise-mercury-llc-proposal-delineate-regulatory-responsibilities2024-04-12T13:03Znever https://www.findknowdo.com/news/03/15/2016/senate-committee-questions-sec-nominees-%28-delta-strategy-group-summary%292021-06-18T18:17Znever https://www.findknowdo.com/news/03/15/2016/nfa-business-conduct-committee-bans-forex-dealer-membership2024-04-05T19:36Znever https://www.findknowdo.com/news/03/15/2016/finra-provides-basic-tips-investors-new-education-podcast2024-04-12T13:03Znever https://www.findknowdo.com/news/03/15/2016/reg-tracker-march-16-through-march-312021-06-18T20:43Znever https://www.findknowdo.com/news/03/15/2016/finra-issues-report-digital-investment-advice-tools2024-04-12T13:03Znever https://www.findknowdo.com/news/03/16/2016/sifma-fires-back-inflated-claims-made-flawed-academic-report-financial-advisor-misconduct2021-01-13T20:54Znever https://www.findknowdo.com/news/03/16/2016/cftc-approves-substituted-compliance-framework-dcos-are-eu-ccps2024-04-06T17:46Znever https://www.findknowdo.com/news/03/16/2016/cftc-chair-massad-cites-regulatory-progress-and-a-strengthened-financial-system2024-04-06T17:46Znever https://www.findknowdo.com/news/03/17/2016/sec-waives-bad-actor-disqualification-and-ineligible-issuer-status-three-advisor-firms2021-01-06T20:49Znever https://www.findknowdo.com/news/03/16/2016/cftc-reduces-regulatory-burden-trade-options2024-04-06T17:46Znever https://www.findknowdo.com/news/03/16/2016/sec-provides-interpretive-guidance-regarding-rule-144-holding-periods2020-12-15T05:20Znever https://www.findknowdo.com/news/03/16/2016/sec-permits-purchases-apart-tender-offer2021-01-24T02:28Znever https://www.findknowdo.com/news/03/16/2016/cpo-pay-over-5.65-million-settle-cftcs-disclosure-misconduct-charges2024-04-06T17:46Znever https://www.findknowdo.com/news/03/16/2016/fdic-finalizes-dodd-frank-act-requirement-increase-minimum-reserve-ratio2024-04-12T19:07Znever https://www.findknowdo.com/news/03/16/2016/london-stock-exchange-and-deutsche-borse-ag-agree-merge2022-11-15T03:15Znever https://www.findknowdo.com/news/03/17/2016/finra-reminds-members-sec-fee-rate-extension2024-04-12T13:03Znever https://www.findknowdo.com/news/03/17/2016/sec-approves-2016-pcaob-budget2024-01-31T19:32Znever https://www.findknowdo.com/news/03/17/2016/sec-approves-final-rule-supplemental-reporting-requirements-sipc-members-%28fed.-reg.%292024-04-09T14:43Znever https://www.findknowdo.com/news/03/17/2016/market-participants-criticize-cftc-proposal-automated-trading2024-04-06T17:46Znever https://www.findknowdo.com/news/03/17/2016/cftc-and-epa-sign-mou-share-renewable-fuel-standard-data2024-04-06T17:46Znever https://www.findknowdo.com/news/03/17/2016/representatives-urge-dol-rethink-fiduciary-proposal2021-06-21T18:43Znever https://www.findknowdo.com/news/03/18/2016/msrb-requests-comments-proposed-amendments-municipal-securities-settlement-cycles-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/03/23/2016/finra-podcast-highlights-five-regulatory-and-examination-priorities-20162024-04-12T13:03Znever https://www.findknowdo.com/news/03/18/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/21/2016/law-review-article-challenges-secs-cost-benefit-analysis-conflict-minerals-rule-compliance2024-02-07T20:40Znever https://www.findknowdo.com/news/03/18/2016/house-subcommittee-considers-recent-developments-digital-currency-and-blockchain-technology-%28-delta-strategy-group-summary%292022-07-02T23:57Znever https://www.findknowdo.com/news/03/18/2016/gao-director-urges-omb-improve-transparency-regulatory-processes2024-01-30T19:23Znever https://www.findknowdo.com/news/03/18/2016/ny-fed-president-highlights-supervisory-objectives-complex-financial-institutions2024-04-12T21:29Znever https://www.findknowdo.com/news/03/18/2016/cftc-extends-no-action-relief-rto-%28cftc-letter-16-27%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/21/2016/sec-requests-comments-proposed-de-minimis-interpretation-definition-automated-quotation-under-reg.-nms2022-12-31T19:35Znever https://www.findknowdo.com/news/03/21/2016/cftc-reduces-reporting-and-recordkeeping-requirements-trade-options-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/21/2016/sec-approves-msrb-board-membership-amendments2024-04-12T00:21Znever https://www.findknowdo.com/news/03/21/2016/finra-and-nasdaq-fine-company-alleged-supervisory-and-trade-violations2024-04-12T13:03Znever https://www.findknowdo.com/news/03/22/2016/sec-delays-sdr-registration-compliance-date2024-01-31T03:13Znever https://www.findknowdo.com/news/03/21/2016/msrb-proposes-aligning-trade-and-trace-reporting-effective-dates-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/03/21/2016/finra-makes-%28almost-no%29-revisions-proposal-tba-requirements2024-04-12T13:03Znever https://www.findknowdo.com/news/03/22/2016/cftc-issues-comparability-determination-european-ccps-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/22/2016/fincen-publishes-updated-list-jurisdictions-aml/ctf-deficiencies2024-04-02T18:52Znever https://www.findknowdo.com/news/03/22/2016/cftc-fines-firm-violating-speculative-position-limit-wheat-futures-contracts2024-04-06T17:46Znever https://www.findknowdo.com/news/03/23/2016/academics-assess-benefits-disclosure-tool-social-change2024-02-07T20:40Znever https://www.findknowdo.com/news/03/22/2016/cme-group-allows-exceptions-position-limits-aggregation-rule2024-04-05T18:43Znever https://www.findknowdo.com/news/03/22/2016/house-appropriations-subcommittee-examines-sec-fy-2017-budget-request-%28-delta-strategy-group-summary%292022-11-20T15:54Znever https://www.findknowdo.com/news/03/23/2016/sec-solicits-further-comment-finras-proposed-rules-capital-acquisition-brokers-%28fed.-reg.%292020-12-15T03:06Znever https://www.findknowdo.com/news/03/23/2016/cftc-settles-charge-bank-submitted-inaccurate-large-trader-reports2024-04-06T17:46Znever https://www.findknowdo.com/news/03/23/2016/sec-asks-registrants-describe-shareholder-proposals-clearly-proxy-cards2020-12-15T03:10Znever https://www.findknowdo.com/news/03/23/2016/banking-agencies-provide-guidance-issuing-prepaid-cards2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/03/23/2016/cftc-commissioner-cautions-global-regulators-against-impeding-blockchain-technology-innovation2024-02-04T04:28Znever https://www.findknowdo.com/news/03/23/2016/ofr-researchers-question-utility-sec-form-pf-risk-management-tool2022-07-27T19:43Znever https://www.findknowdo.com/news/03/25/2016/sec-requests-comments-proposed-interpretation-automated-quotation-under-reg.-nms-%28fed.-reg.%292022-12-31T13:56Znever https://www.findknowdo.com/news/03/25/2016/new-york-fed-revises-policy-primary-dealers2024-04-12T21:29Znever https://www.findknowdo.com/news/03/25/2016/finra-provides-further-detail-technology-management-and-cybersecurity2024-04-12T13:02Znever https://www.findknowdo.com/news/03/25/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/25/2016/sec-fines-defendants-trading-information-hacked-news-release2020-12-15T02:22Znever https://www.findknowdo.com/news/03/25/2016/ici-criticizes-report-recommending-california-establish-state-run-retirement-plans2022-11-14T03:17Znever https://www.findknowdo.com/news/03/28/2016/cftc-approves-alternative-fingerprinting-foreign-natural-persons2024-04-06T17:46Znever https://www.findknowdo.com/news/03/28/2016/msrb-seeks-comment-proposal-require-disclosure-direct-purchases-and-bank-loans-%28msrb-reg.-notice-2016-11%292024-04-12T00:21Znever https://www.findknowdo.com/news/03/28/2016/cftc-revises-service-process-rule-adjudicatory-proceedings-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/28/2016/gao-criticizes-complexity-and-fragmentation-financial-regulatory-structure2024-01-30T19:23Znever https://www.findknowdo.com/news/03/29/2016/sec-chair-white-outlines-responsibilities-mutual-fund-independent-directors2021-06-18T18:26Znever https://www.findknowdo.com/news/03/29/2016/investment-industry-groups-criticize-secs-proposal-restrict-derivatives-use-registered-funds2021-10-23T02:02Znever https://www.findknowdo.com/news/03/29/2016/sec-approves-finra-proposal-educate-customers-costs-account-transfers-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/03/29/2016/sec-investor-advisory-committee-hold-public-meeting2023-04-25T22:39Znever https://www.findknowdo.com/news/03/30/2016/esma-urges-ec-weigh-proposed-mifid-ii-regulatory-technical-standard2022-11-16T00:05Znever https://www.findknowdo.com/news/03/29/2016/commissioner-giancarlo-advocates-do-no-harm-approach-blockchain-regulation2024-04-06T17:46Znever https://www.findknowdo.com/news/03/30/2016/delta-strategy-group-summarizes-comment-letters-cftc-proposed-regulation2024-04-04T19:10Znever https://www.findknowdo.com/news/03/29/2016/economist-doubts-sec-proposed-leverage-regulation-would-protect-investors2021-10-23T02:02Znever https://www.findknowdo.com/news/03/30/2016/finra-proposes-daily-pricing-information-exchange-traded-managed-fund-share-otc-transactions2024-04-12T13:02Znever https://www.findknowdo.com/news/03/30/2016/u.s.-district-court-rescinds-metlifes-sifi-designation2024-01-30T18:17Znever https://www.findknowdo.com/news/03/30/2016/new-nasaa-training-program-help-combat-financial-abuse-seniors2024-02-03T22:51Znever https://www.findknowdo.com/news/03/30/2016/cftc-market-advisory-risk-committee-hold-public-meeting-derivatives-markets-%28fed.-reg.%292024-04-06T17:46Znever https://www.findknowdo.com/news/03/31/2016/reg-tracker-april-1-through-april-152021-01-06T15:34Znever https://www.findknowdo.com/news/03/31/2016/finra-offers-five-tips-help-investors-avoid-getting-fooled2024-04-12T13:02Znever https://www.findknowdo.com/news/03/31/2016/ge-capital-requests-rescission-sifi-designation-due-complete-transformation2022-07-27T18:55Znever https://www.findknowdo.com/news/03/31/2016/treasury-official-warns-financial-sector-enhance-cyber-resilience2024-04-02T19:55Znever https://www.findknowdo.com/news/03/31/2016/occ-summarizes-latest-developments-its-innovation-initiative2024-04-12T21:44Znever https://www.findknowdo.com/news/03/31/2016/senator-warren-asks-sec-whether-public-comments-proposed-rules-may-violate-securities-laws2020-12-15T03:26Znever https://www.findknowdo.com/news/04/01/2016/sec-settles-charges-against-company-misleading-investors2020-12-15T06:38Znever https://www.findknowdo.com/news/04/01/2016/cftc-approves-alternative-fingerprinting-foreign-natural-persons-%28fed.-reg.%292024-04-06T17:45Znever https://www.findknowdo.com/news/04/01/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/01/2016/associations-weigh-eu-financial-benchmarks-regulation2022-11-15T03:15Znever https://www.findknowdo.com/news/04/01/2016/iosco-updates-otc-derivatives-central-clearing-requirements-information-repository2024-01-31T02:35Znever https://www.findknowdo.com/news/04/01/2016/federal-reserve-bank-president-evaluates-federal-reserve-board-actions-post-crisis2024-04-12T21:29Znever https://www.findknowdo.com/news/04/01/2016/federal-reserve-board-expands-definition-high-quality-liquid-assets-include-certain-state-and-municipal-securities2024-04-12T21:29Znever https://www.findknowdo.com/news/04/01/2016/sec-chair-white-calls-vigilance-unicorns2021-01-20T14:12Znever https://www.findknowdo.com/news/04/01/2016/cftc-grants-two-non-u.s.-swap-dealers-no-action-relief-annual-cco-reporting-deadline2024-04-06T17:45Znever https://www.findknowdo.com/news/04/04/2016/sec-institutes-proceedings-determine-whether-accept-finras-proposed-pay-play-rules-%28fed.-reg.%292024-02-04T16:33Znever https://www.findknowdo.com/news/04/04/2016/ny-fed-staff-report-defends-stress-tests-bank-holding-companies2024-04-12T21:29Znever https://www.findknowdo.com/news/04/04/2016/cftc-awards-more-10-million-whistleblower2024-04-06T17:45Znever https://www.findknowdo.com/news/04/04/2016/sros-caution-firms-distinguish-between-debt-securities-and-loans2024-04-12T13:02Znever https://www.findknowdo.com/news/04/04/2016/cftc-and-sec-propose-joint-guidance-treatment-energy-capacity-contracts2024-04-06T17:45Znever https://www.findknowdo.com/news/04/04/2016/fincen-solicits-comment-proposals-include-crowdfunding-portals-broker-dealer-definitions-under-bank-secrecy-act-%28fed.-reg.%292024-04-02T18:52Znever https://www.findknowdo.com/news/04/04/2016/streetwise-professor-decries-separate-commingled-risk-proposal2024-01-31T02:35Znever https://www.findknowdo.com/news/04/04/2016/finra-podcast-examines-sales-practice-financial-and-operational-controls-and-market-integrity2024-04-12T13:02Znever https://www.findknowdo.com/news/04/05/2016/federal-court-fines-defendants-2.36-million-alleged-spoofing-gold-and-silver-futures2024-04-06T17:45Znever https://www.findknowdo.com/news/04/05/2016/nasaa-requests-comments-proposed-revisions-certain-forms-and-finance-policy-statements2024-02-03T22:51Znever https://www.findknowdo.com/news/04/05/2016/cftc-market-risk-advisory-committee-will-meet-consider-state-derivatives2024-04-06T17:44Znever https://www.findknowdo.com/news/04/05/2016/sec-grants-exemptive-relief-allowing-fund-operate-etfs-etfs-%28fed-reg.%292021-01-24T03:12Znever https://www.findknowdo.com/news/04/05/2016/cftc-exempts-two-cpos-annual-filing-requirements-%28cftc-letters-16-30-and-16-31%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/05/2016/new-fdic-publication-provides-supplementary-guidance-corporate-governance2024-04-12T19:07Znever https://www.findknowdo.com/news/04/06/2016/finra-reminds-members-new-balance-sheet-reporting-obligations-and-implementation-schedule-%28regulatory-notice-16-11%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/06/2016/cftc-fines-company-execution-non-bona-fide-efps2024-04-06T17:44Znever https://www.findknowdo.com/news/04/06/2016/u.s.-district-judge-allows-false-claims-suit-proceed-against-renewable-energy-company2022-10-07T22:43Znever https://www.findknowdo.com/news/04/06/2016/dol-adopts-final-rule-defining-fiduciary2024-04-04T19:21Znever https://www.findknowdo.com/news/04/06/2016/sifma-general-counsel-criticizes-regulators-gotcha-approach-aml-compliance2021-03-26T19:12Znever https://www.findknowdo.com/news/04/06/2016/iosco-issues-report-cyber-resilience2021-03-20T16:46Znever https://www.findknowdo.com/news/04/07/2016/fdic-shortens-timeframe-enhanced-supervision-new-banks-releases-guidance-deposit-insurance-applications2024-04-12T19:07Znever https://www.findknowdo.com/news/04/06/2016/sifma-recommends-changes-irc-regulations-withholding-certain-derivatives2021-01-13T20:32Znever https://www.findknowdo.com/news/04/07/2016/federal-reserve-board-proposes-technical-amendments-risk-based-capital-guidelines2024-04-12T21:29Znever https://www.findknowdo.com/news/04/07/2016/basel-committee-proposes-revisions-leverage-ratio-framework-include-new-method-assessing-derivatives-risk2024-02-05T17:30Znever https://www.findknowdo.com/news/04/07/2016/cftc-encourages-investors-use-smartcheck2024-04-06T17:44Znever https://www.findknowdo.com/news/04/07/2016/finra-responds-questions-about-minimum-retirement-distributions2024-04-12T13:02Znever https://www.findknowdo.com/news/04/07/2016/senate-agriculture-committee-mark-cftc-reauthorization-bill2021-06-18T16:04Znever https://www.findknowdo.com/news/04/07/2016/sifma-finds-mbs-issuance-abs-down2021-06-22T15:02Znever https://www.findknowdo.com/news/04/07/2016/d.c.-district-court-calls-fsocs-review-metlifes-status-fatally-flawed2021-01-16T00:19Znever https://www.findknowdo.com/news/04/12/2016/senate-banking-committee-reviews-recent-cfpb-activity-%28-delta-strategy-group-summary%292020-12-24T14:22Znever https://www.findknowdo.com/news/04/08/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/08/2016/dol-adopts-final-rule-defining-fiduciary-%28fed.-reg.%292024-04-04T19:21Znever https://www.findknowdo.com/news/04/08/2016/proposed-technical-amendments-risk-based-capital-guidelines-published-federal-register2024-04-12T21:29Znever https://www.findknowdo.com/news/04/08/2016/sec-solicits-comment-finra-proposed-trade-reporting-rule-nextshares2024-04-12T13:02Znever https://www.findknowdo.com/news/04/08/2016/las-vegas-casino-charged-fcpa-violations2024-01-29T14:22Znever https://www.findknowdo.com/news/04/08/2016/cftc-requests-comment-joint-guidance-sec-treatment-energy-capacity-contracts-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/08/2016/treasury-secretary-defends-fsocs-designation-metlife2024-04-02T19:55Znever https://www.findknowdo.com/news/04/08/2016/senators-warren-and-brown-ask-treasury-review-panama-papers2020-12-15T03:03Znever https://www.findknowdo.com/news/04/08/2016/sifma-president-says-focus-will-be-dol-fiduciary-rule-protection-seniors-and-cybersecurity2021-03-20T16:46Znever https://www.findknowdo.com/news/04/11/2016/european-commission-unbundles-mifid-research-and-trading-fees2022-12-03T16:44Znever https://www.findknowdo.com/news/04/08/2016/cftc-division-market-oversight-extends-time-limited-no-action-relief-ocr-reporting-obligations-%28cftc-no-action-letters-16-32-and-16-33%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/11/2016/sec-approves-amendments-oats-rules-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/11/2016/cftc-market-risk-advisory-committee-releases-agenda-upcoming-derivatives-meeting2024-04-06T17:44Znever https://www.findknowdo.com/news/04/11/2016/cftc-staff-determines-fund-operated-two-brothers-alone-not-commodity-pool-%28cftc-letter-16-34%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/11/2016/ny-federal-reserve-v.p.-discusses-role-bank-supervision2024-04-12T21:29Znever https://www.findknowdo.com/news/04/11/2016/cftc-grants-relief-cpos-audited-annual-financial-statement-requirements-%28cftc-letters-16-35-16-36-16-37-16-38-and-16-39%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/11/2016/representative-garrett-requests-more-information-sifi-designation-process2020-12-15T05:58Znever https://www.findknowdo.com/news/04/12/2016/irs-proposal-addresses-treatment-deemed-distributions2024-04-04T18:52Znever https://www.findknowdo.com/news/04/12/2016/federal-reserve-board-amends-liquidity-coverage-ratio-rule-include-certain-municipal-obligations-%28fed.-reg.%292024-04-12T21:29Znever https://www.findknowdo.com/news/04/12/2016/sales-interests-under-able-accounts-may-be-subject-msrb-rules-%28msrb-reg.-notice-2016-14%292024-04-12T00:21Znever https://www.findknowdo.com/news/04/12/2016/sifma-suggests-improvements-sec-municipal-bond-disclosure-framework2024-02-05T01:50Znever https://www.findknowdo.com/news/04/12/2016/cftc-chair-massad-urges-senate-appropriations-committee-approve-fy-2017-budget-request-%28-delta-strategy-group-summary%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/12/2016/cftc-commissioner-giancarlo-reiterates-call-do-no-harm-approach-blockchain-regulation2024-04-06T17:44Znever https://www.findknowdo.com/news/04/12/2016/sifma-executive-highlights-issues-concerning-changing-role-exchanges-equity-market-structure2021-06-22T19:57Znever https://www.findknowdo.com/news/04/12/2016/fincen-director-warns-real-estate-industry-remains-susceptible-money-laundering2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/04/13/2016/finra-adopts-employee-trading-rule-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/13/2016/finra-adopts-employee-trading-rule-%28fed.-reg.%29-02024-04-12T13:02Znever https://www.findknowdo.com/news/04/13/2016/sec-chair-white-breaks-down-fy-2017-budget-request-%28-delta-strategy-group-summary%292022-11-20T15:54Znever https://www.findknowdo.com/news/04/13/2016/finra-expands-registration-requirements-employees-responsible-algorithmic-trading-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/13/2016/cftc-appoints-first-director-customer-education-and-outreach2024-04-06T17:44Znever https://www.findknowdo.com/news/04/13/2016/house-financial-services-committee-splits-along-party-lines-approves-amendments-dodd-frank2021-01-24T01:52Znever https://www.findknowdo.com/news/04/13/2016/sec-approves-concept-release-corporate-disclosure-requirements-%28-delta-strategy-group-summary%292020-12-15T05:24Znever https://www.findknowdo.com/news/04/13/2016/inspector-generals-findings-undermine-cftc-research-position-limits-says-streetwise-professor2024-04-06T17:44Znever https://www.findknowdo.com/news/04/13/2016/sec-adopts-business-conduct-standards-security-based-swap-dealers-and-major-security-based-swap-participants2020-12-14T08:26Znever https://www.findknowdo.com/news/04/14/2016/reg-tracker-april-15-april-302021-01-06T15:34Znever https://www.findknowdo.com/news/04/14/2016/sec-approves-finra-proposal-realign-nms-computer-clocks-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/14/2016/senate-agricultural-committee-passes-commodity-end-user-relief-act-%28-delta-strategy-group-summary%292021-06-22T20:25Znever https://www.findknowdo.com/news/04/14/2016/federal-reserve-and-fdic-explain-recent-resolution-planning-determinations-%28-delta-strategy-group-summary%292024-04-12T21:29Znever https://www.findknowdo.com/news/04/14/2016/cftc-grants-relief-cpos-audited-annual-financial-statement-requirements-%28cftc-letters-16-40-16-41-16-42-16-43-16-44-16-45-and-16-46%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/14/2016/sec-issues-final-business-conduct-standards-security-based-swap-dealers-and-major-participants2022-11-19T16:53Znever https://www.findknowdo.com/news/04/14/2016/sec-solicits-comments-disclosure-requirements-under-regulation-s-k2020-12-15T06:57Znever https://www.findknowdo.com/news/04/14/2016/sec-charges-research-analyst-insider-trading2020-12-15T05:22Znever https://www.findknowdo.com/news/04/15/2016/isda-elects-10-directors-general-meeting2021-01-15T00:20Znever https://www.findknowdo.com/news/04/15/2016/sec-explains-how-evaluate-investment-performance-claims2020-12-15T06:58Znever https://www.findknowdo.com/news/04/15/2016/nfa-outlines-approval-process-calculating-margin-cftc-covered-swap-entities2024-04-05T19:36Znever https://www.findknowdo.com/news/04/15/2016/sec-solicits-comments-amendment-finra-tba-margin-proposal-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/15/2016/finra-offers-amendment-proposed-rules-capital-acquisition-brokers-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/15/2016/sec-recognizes-norwegian-securities-marketplace-under-regulation-s2020-12-15T04:32Znever https://www.findknowdo.com/news/04/15/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/18/2016/nasaa-urges-investors-use-education-resources-offered-state-securities-regulators2024-02-03T22:51Znever https://www.findknowdo.com/news/04/18/2016/sec-online-registration-fee-estimator-helps-companies-calculate-costs-electronic-form-submissions2021-01-24T02:25Znever https://www.findknowdo.com/news/04/18/2016/fhfa-issues-orders-fulfill-stress-test-reporting-requirements-%28fed.-reg.%292022-10-28T12:41Znever https://www.findknowdo.com/news/04/18/2016/ny-federal-reserve-bank-president-cites-progress-cross-border-regulation2024-04-12T21:29Znever https://www.findknowdo.com/news/04/18/2016/msrb-board-focuses-investor-education-quarterly-meeting2024-04-12T00:21Znever https://www.findknowdo.com/news/04/18/2016/sec-permits-broker-dealer-affiliates-purchase-fractional-shares-advisory-client-accounts2022-08-30T19:10Znever https://www.findknowdo.com/news/04/18/2016/ici-publishes-data-closed-end-fund-marketplace-20152021-06-22T15:05Znever https://www.findknowdo.com/news/04/18/2016/cftc-adds-names-23-foreign-entities-red-list2024-04-06T17:44Znever https://www.findknowdo.com/news/04/19/2016/finra-provides-guidance-firms-sales-requirements-pension-income-stream-products-%28finra-reg.-notice-16-12%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/19/2016/fsoc-updates-review-asset-management-products-and-activities2022-07-27T18:55Znever https://www.findknowdo.com/news/04/19/2016/former-officials-urge-treasury-secretary-replace-proposed-anti-inversion-rules-lower-tax-rates-and-territorial-systems2019-04-03T19:06Znever https://www.findknowdo.com/news/04/19/2016/nfa-outline-review-process-margin-models-submitted-cftc-covered-swap-entities2024-04-05T19:36Znever https://www.findknowdo.com/news/04/19/2016/house-fsc-subcommittee-review-activities-sec-division-economic-analysis2024-01-30T02:46Znever https://www.findknowdo.com/news/04/19/2016/sec-highlights-compliance-priorities-outreach-program-investment-advisors-and-officers2020-12-15T06:27Znever https://www.findknowdo.com/news/04/20/2016/finra-proposes-delay-implementation-debt-research-rule2024-04-12T13:02Znever https://www.findknowdo.com/news/04/20/2016/cftc-grants-exemptive-relief-certain-cpos-annual-reporting-requirements-%28cftc-letters-16-47-16-48-and-16-49%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/20/2016/finra-reminds-firms-expanded-definition-ready-market-certain-foreign-equity-securities-%28finra-reg.-notice-16-13%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/20/2016/sec-equity-market-structure-advisory-subcommittee-recommends-improving-trading-venue-models2024-01-31T19:32Znever https://www.findknowdo.com/news/04/20/2016/cftc-and-canadian-provincial-financial-regulators-sign-mou2024-04-06T17:44Znever https://www.findknowdo.com/news/04/21/2016/sec-extends-review-finra-proposal-submission-ats-specific-order-information-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/21/2016/sec-executives-testify-expanded-regulatory-responsibilities-%28-delta-strategy-group-summary%292024-01-30T02:46Znever https://www.findknowdo.com/news/04/21/2016/fdic-review-issues-concerning-transfer-agents-compensation-and-assessments-deposit-insurance2024-04-12T19:07Znever https://www.findknowdo.com/news/04/21/2016/senator-warren-calls-stamford-harbor-decision-mockery-secs-mission-protect-investors2020-12-15T06:54Znever https://www.findknowdo.com/news/04/21/2016/new-york-district-attorney-opens-investigation-panama-papers2021-01-16T00:19Znever https://www.findknowdo.com/news/04/21/2016/gao-issues-report-fines-penalties-and-forfeitures-violations-financial-crimes2024-01-30T19:23Znever https://www.findknowdo.com/news/04/21/2016/fia-says-cftc-automated-trading-proposal-should-protect-source-code2022-11-19T22:40Znever https://www.findknowdo.com/news/04/21/2016/sec-approves-limit-limit-down-plan-amendment-prevent-trading-pauses-and-extend-pilot-period2020-12-15T06:43Znever https://www.findknowdo.com/news/04/21/2016/sec-grants-no-action-relief-health-care-company-exchange-offer-requirements2020-12-04T23:35Znever https://www.findknowdo.com/news/04/21/2016/ofac-updates-cuba-related-faqs2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/04/22/2016/sec-requests-comments-disclosure-requirements-under-regulation-s-k-%28fed.-reg.%292020-12-15T02:36Znever https://www.findknowdo.com/news/04/22/2016/ofr-analyst-highlights-challenges-posed-alternative-credit-rating-standards2024-01-31T14:59Znever https://www.findknowdo.com/news/04/22/2016/regulators-propose-restricting-incentive-based-compensation-arrangements-covered-institutions2024-04-12T21:44Znever https://www.findknowdo.com/news/04/22/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/25/2016/seventh-circuit-court-appeals-reverses-wire-fraud-conviction2021-01-16T00:28Znever https://www.findknowdo.com/news/04/25/2016/finra-makes-available-new-data-otc-equity-trading-%28finra-reg.-notice-16-14%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/25/2016/nasaa-hold-public-policy-conference2024-02-03T22:51Znever https://www.findknowdo.com/news/04/25/2016/sifma-amg-offers-recommendations-treaty-entitlements-non-civ-fund-investors2021-01-25T01:03Znever https://www.findknowdo.com/news/04/25/2016/cftc-grants-exemptive-relief-certain-cpos-annual-reporting-requirements-%28cftc-letters-16-50-16-51%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/25/2016/mfa-proposes-ways-best-incorporate-ec-position-limit-amendments-mifid-ii-rts2022-11-21T13:12Znever https://www.findknowdo.com/news/04/26/2016/fdic-approves-final-rule-amending-deposit-insurance-assessment-small-banks2024-04-12T19:07Znever https://www.findknowdo.com/news/04/26/2016/cftc-market-risk-advisory-committee-considers-current-state-derivatives-market2024-04-06T17:44Znever https://www.findknowdo.com/news/04/26/2016/sec-emsac-reviews-recommendations-concerning-access-fee-pilot-program-and-trading-venue-rules2024-01-31T19:32Znever https://www.findknowdo.com/news/04/26/2016/director-jennifer-shasky-calvery-leave-fincen2024-04-02T18:52Znever https://www.findknowdo.com/news/04/26/2016/cfpb-solicits-further-comment-proposed-periodic-statement-forms-consumers-bankruptcy2024-04-12T17:11Znever https://www.findknowdo.com/news/04/27/2016/finra-offers-advice-investors-when-file-complaints2024-04-12T13:02Znever https://www.findknowdo.com/news/04/27/2016/sec-approves-request-comments-proposed-cat-plan-%28-delta-strategy-group-summary%292024-01-31T19:32Znever https://www.findknowdo.com/news/04/28/2016/president-issues-executive-order-directing-agencies-increase-competition-and-better-inform-consumers2019-12-31T23:18Znever https://www.findknowdo.com/news/04/27/2016/gao-calls-congress-rationalize-financial-regulatory-structure2024-01-30T19:23Znever https://www.findknowdo.com/news/04/27/2016/house-passes-bill-amend-volcker-rule-permit-funds-share-names-certain-banking-entities2021-02-01T19:39Znever https://www.findknowdo.com/news/04/28/2016/sec-issues-no-action-letter-regarding-independent-verification-under-advisers-act2022-01-02T16:59Znever https://www.findknowdo.com/news/04/27/2016/finra-provides-detail-trace-exemption-certain-ats-transactions-%28finra-reg.-notice-16-15%292024-04-12T13:02Znever https://www.findknowdo.com/news/04/29/2016/u.s.-district-court-rules-preliminary-matters-cftc-spoofing-case2024-04-06T17:44Znever https://www.findknowdo.com/news/04/28/2016/house-subcommittee-considers-impact-capital-and-margin-requirements-end-users-%28-delta-strategy-group-summary%292024-04-06T17:44Znever https://www.findknowdo.com/news/04/28/2016/house-passes-bill-promote-investment-fund-research-reports2021-01-24T02:25Znever https://www.findknowdo.com/news/04/28/2016/occ-reminds-banks-fulfill-recordkeeping-obligations2024-04-12T21:44Znever https://www.findknowdo.com/news/04/28/2016/finra-issues-first-cross-market-equity-supervision-report-cards2024-04-12T13:02Znever https://www.findknowdo.com/news/04/28/2016/cfpb-finalizes-shift-authority-over-consumer-financial-protection2024-04-12T17:11Znever https://www.findknowdo.com/news/04/28/2016/sec-provides-guidance-asset-level-disclosure-filings-under-reg-ab2026-04-15T20:41Zyearly https://www.findknowdo.com/news/04/29/2016/finra-proposes-amending-nacs-size-terms-and-election-procedures2024-04-12T13:02Znever https://www.findknowdo.com/news/04/29/2016/finra-provides-guidance-public-non-traded-reit-investing2024-04-12T13:02Znever https://www.findknowdo.com/news/04/29/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/29/2016/regulators-seek-comments-proposed-revisions-cc-rating-system2022-10-28T12:30Znever https://www.findknowdo.com/news/04/29/2016/reg-tracker-may-1-through-may-152021-01-06T15:33Znever https://www.findknowdo.com/news/05/02/2016/sifma-supports-statute-limitations-defense-sec-fraud-sanctions-case2021-01-13T20:54Znever https://www.findknowdo.com/news/05/02/2016/cftc-amends-key-definitions-streamline-swap-portfolio-reconciliation2024-04-06T17:44Znever https://www.findknowdo.com/news/05/02/2016/fia-urges-sec-finalize-rules-covered-clearing-agencies2024-01-31T02:35Znever https://www.findknowdo.com/news/05/02/2016/regulators-update-retail-payment-systems-booklet-add-appendix-mobile-financial-services2024-04-12T19:07Znever https://www.findknowdo.com/news/05/02/2016/sec-investor-education-office-offers-advice-stop-and-stop-limit-orders2020-12-15T06:45Znever https://www.findknowdo.com/news/05/02/2016/nasaa-requests-comments-proposed-guidelines-electronic-offerings2024-02-03T22:51Znever https://www.findknowdo.com/news/05/03/2016/finra-proposes-delaying-implementation-debt-research-rule-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/03/2016/msrb-announces-sec-approval-rule-amendments-t2-settlement-cycle-%28msrb-reg.-notice-2016-15%292024-04-12T00:21Znever https://www.findknowdo.com/news/05/03/2016/finra-fines-firm-misrepresentions-variable-annuity-replacement-applications2024-04-12T13:02Znever https://www.findknowdo.com/news/05/04/2016/agencies-request-comments-joint-proposal-limit-incentive-based-compensation-arrangements-covered-institutions2024-04-12T21:29Znever https://www.findknowdo.com/news/05/03/2016/sec-adopts-final-rule-amendments-implement-jobs-and-fast-acts2019-12-25T02:10Znever https://www.findknowdo.com/news/05/03/2016/finra-proposes-amendments-arbitration-procedure-codes-customer-and-industry-disputes2024-04-12T13:02Znever https://www.findknowdo.com/news/05/03/2016/regulatory-agencies-propose-rule-implement-net-stable-funding-ratio-requirements2024-04-12T21:44Znever https://www.findknowdo.com/news/05/03/2016/federal-reserve-board-proposes-rule-stay-contractual-requirements-gsibs2024-04-12T21:29Znever https://www.findknowdo.com/news/05/04/2016/sec-approves-msrb-amendments-shorten-securities-settlement-cycle-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/05/04/2016/u.s.-district-court-dismisses-complaint-against-finra2023-05-22T22:53Znever https://www.findknowdo.com/news/05/04/2016/nfa-now-reviewing-risk-based-initial-margin-models2024-04-05T19:36Znever https://www.findknowdo.com/news/05/04/2016/finra-recaps-april-2016-activities2024-04-12T13:02Znever https://www.findknowdo.com/news/05/04/2016/hotel-delays-acquisition-after-concluding-firpta-applies-its-non-u.s.-shareholders2024-04-04T19:10Znever https://www.findknowdo.com/news/05/05/2016/finra-explains-fee-used-fund-governmental-accounting-standards-board-%28finra-reg.-notice-16-16%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/05/2016/cfpb-requests-comments-proposed-rules-restrict-use-mandatory-arbitration-clauses-consumer-financial-contracts2024-04-12T17:11Znever https://www.findknowdo.com/news/05/05/2016/finra-financed-research-shows-seniors-vulnerable-emotion-based-advertising2024-04-12T13:02Znever https://www.findknowdo.com/news/05/05/2016/isda-develops-resolution-stay-jurisdictional-modular-protocol2021-01-15T00:21Znever https://www.findknowdo.com/news/05/05/2016/sec-deputy-chief-accountant-discusses-new-developments-financial-reporting-standards2022-12-03T14:10Znever https://www.findknowdo.com/news/05/05/2016/finra-reminds-firms-options-reporting-requirements-%28finra-reg.-notice-16-17%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/06/2016/cftc-final-rule-swap-portfolio-reconciliation-published-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/05/06/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/17/2016/sifma-argues-against-weakening-class-certification-requirements2021-01-13T20:54Znever https://www.findknowdo.com/news/05/06/2016/sec-issues-no-action-letter-successor-entity-under-sea-rules2026-04-15T20:41Zyearly https://www.findknowdo.com/news/05/06/2016/sec-commissioner-talks-disclosure-digital-age2020-12-04T23:35Znever https://www.findknowdo.com/news/05/09/2016/fdic-adopts-and-expands-securities-transfer-agent-registration-requirements-%28fed.-reg.%292024-04-12T19:07Znever https://www.findknowdo.com/news/05/09/2016/occ-provides-guidance-examiners-student-loans2024-04-12T21:44Znever https://www.findknowdo.com/news/05/09/2016/iosco-examines-impact-storage-infrastructure-market-pricing-commodity-derivatives2021-01-16T19:11Znever https://www.findknowdo.com/news/05/09/2016/cftc-settles-charges-against-fcm-custody-and-reporting-violations2024-04-06T17:44Znever https://www.findknowdo.com/news/05/09/2016/financial-industry-associations-recommend-adoption-global-and-preventative-cybersecurity-policy2021-03-20T16:46Znever https://www.findknowdo.com/news/05/10/2016/sec-final-rule-amendments-jobs-and-fast-acts-published-%28fed.-reg.%292021-06-18T19:49Znever https://www.findknowdo.com/news/05/10/2016/isda-analyzes-impact-regulatory-changes-swap-trading-liquidity2021-01-15T00:21Znever https://www.findknowdo.com/news/05/10/2016/treasury-recommends-best-practices-online-marketplace-lending2024-04-02T19:55Znever https://www.findknowdo.com/news/05/10/2016/cftc-proposal-reasserts-right-private-litigation-against-rtos-and-isos2024-04-06T17:44Znever https://www.findknowdo.com/news/05/11/2016/fincen-adopts-customer-due-diligence-requirements-financial-institutions-%28fed.-reg.%292026-06-19T17:41Zmonthly https://www.findknowdo.com/news/05/11/2016/occ-outlines-supervisory-priorities-mid-cycle-status-report2024-04-12T21:44Znever https://www.findknowdo.com/news/05/11/2016/finra-fines-firm-failure-adequately-supervise-flash-email-distribution2024-04-12T13:02Znever https://www.findknowdo.com/news/05/11/2016/sec-advisory-committee-small-and-emerging-companies-discuss-definition-accredited-investor2020-12-15T06:01Znever https://www.findknowdo.com/news/05/11/2016/federal-reserve-board-proposal-stay-contractual-requirements-gsibs-published-%28fed.-reg.%292024-04-12T21:29Znever https://www.findknowdo.com/news/05/11/2016/sifma-critiques-dol-fiduciary-rule2021-06-18T15:44Znever https://www.findknowdo.com/news/05/11/2016/ofr-offers-best-practice-tips-regulatory-data-collection2022-07-27T19:43Znever https://www.findknowdo.com/news/05/11/2016/federal-reserve-board-asserts-greater-control-over-office-financial-policy2024-04-12T21:29Znever https://www.findknowdo.com/news/05/12/2016/cftc-extends-relief-australian-exchange-sef-registration-requirement2024-04-06T17:44Znever https://www.findknowdo.com/news/05/12/2016/fdic-chief-information-officer-testifies-cybersecurity-protocols2024-04-12T19:07Znever https://www.findknowdo.com/news/05/12/2016/sec-director-enforcement-highlights-actions-against-private-equity-fund-advisers2021-01-24T05:23Znever https://www.findknowdo.com/news/05/12/2016/msrb-proposes-amendments-rule-municipal-security-close-out-procedures2024-04-12T00:21Znever https://www.findknowdo.com/news/05/13/2016/energy-metro-desk-summarizes-issues-raised-fia-compliance-conference2024-02-04T04:28Znever https://www.findknowdo.com/news/05/13/2016/sec-business-conduct-standards-security-based-swap-dealers-and-major-participants-published-%28fed.-reg.%292022-11-19T16:53Znever https://www.findknowdo.com/news/05/13/2016/cftc-recommends-keeping-current-residual-interest-deadline-fcms2024-04-06T17:44Znever https://www.findknowdo.com/news/05/13/2016/finra-alerts-investors-crowdfunding-risk2024-04-12T13:02Znever https://www.findknowdo.com/news/05/16/2016/finance-leaders-and-congressional-representatives-debate-green-funding-initiatives2021-01-13T20:28Znever https://www.findknowdo.com/news/05/13/2016/sec-awards-millions-whistleblower-aiding-ongoing-investigation2024-01-30T02:46Znever https://www.findknowdo.com/news/05/13/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/13/2016/reg-tracker-may-16-through-may-312021-06-18T20:35Znever https://www.findknowdo.com/news/05/16/2016/sec-adopts-finra-rule-submission-ats-specific-order-information-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/16/2016/cftc-solicits-comments-proposal-reassert-right-private-litigation-against-rtos-and-isos2024-04-06T17:44Znever https://www.findknowdo.com/news/05/16/2016/finra-explains-new-rule-customer-communications-about-account-transfer-costs-%28finra-reg.-notice-16-18%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/17/2016/sec-request-comments-proposed-cat-plan-published-%28fed.-reg.%292024-01-31T19:32Znever https://www.findknowdo.com/news/05/17/2016/sifma-argues-against-basing-insider-trading-liability-notions-friendship-or-family-alone2021-01-13T20:54Znever https://www.findknowdo.com/news/05/17/2016/treasury-and-sec-collaborate-tracking-cash-market-transactions2024-04-02T19:55Znever https://www.findknowdo.com/news/05/17/2016/cftc-grants-cpos-exemptive-relief-quarterly-reporting-requirements2024-04-06T17:44Znever https://www.findknowdo.com/news/05/17/2016/msrb-outlines-library-resources-available-state-and-local-issuers2024-04-12T00:21Znever https://www.findknowdo.com/news/05/17/2016/sec-grants-exemption-certain-quoting-and-trading-requirements-under-tick-size-pilot-program2020-12-15T05:16Znever https://www.findknowdo.com/news/05/17/2016/nasaa-solicits-comment-proposed-rules-and-forms-crowdfunding-offerings2024-02-03T22:51Znever https://www.findknowdo.com/news/05/18/2016/finra-fines-firm-and-suspends-compliance-officer-systemic-aml-compliance-failures2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/05/18/2016/sec-provides-guidance-master-limited-partnerships2019-04-03T19:06Znever https://www.findknowdo.com/news/05/18/2016/sec-updates-qa-non-gaap-financial-measure-expresses-concerns2022-12-03T14:10Znever https://www.findknowdo.com/news/05/18/2016/senator-introduces-bill-revise-tax-treatment-derivatives2020-12-15T06:23Znever https://www.findknowdo.com/news/05/19/2016/sec-adopts-updates-edgar-filer-manual-%28fed.-reg.%292020-12-03T05:07Znever https://www.findknowdo.com/news/05/19/2016/financial-services-subcommittee-considers-cfpb-proposal-ban-mandatory-arbitration2024-04-12T17:11Znever https://www.findknowdo.com/news/05/19/2016/agencies-outline-supervisory-expectations-deposit-reconciliation-practices2024-04-12T21:44Znever https://www.findknowdo.com/news/05/19/2016/finra-charges-firm-misuse-customer-charitable-trust-funds2024-04-12T13:02Znever https://www.findknowdo.com/news/05/19/2016/iosco-reports-executive-activity2021-01-16T19:11Znever https://www.findknowdo.com/news/05/19/2016/occ-provides-guidance-revised-sec-money-market-fund-rules2024-04-12T21:44Znever https://www.findknowdo.com/news/05/19/2016/financial-services-subcommittees-examine-proposals-capital-formation-%28-delta-strategy-group-summary%292021-06-22T18:35Znever https://www.findknowdo.com/news/05/19/2016/sec-advisory-committee-says-threshold-become-accredited-investor-should-remain-current-level-%28-delta-strategy-group-summary%292020-12-15T05:22Znever https://www.findknowdo.com/news/05/20/2016/finra-proposes-extend-tier-size-pilot2026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/20/2016/supreme-court-rules-federal-courts-do-not-have-exclusive-jurisdiction-over-sea-related-state-law-actions2021-02-01T19:56Znever https://www.findknowdo.com/news/05/20/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/20/2016/sec-awards-whistleblowers-over-450000-tips-corporate-accounting-investigation2024-01-30T02:46Znever https://www.findknowdo.com/news/05/20/2016/sec-chair-white-highlights-regulatory-initiatives-investment-companies2022-08-30T19:08Znever https://www.findknowdo.com/news/05/20/2016/comment-deadline-extended-deposit-insurance-recordkeeping-proposal2024-04-12T19:07Znever https://www.findknowdo.com/news/05/23/2016/sec-solicits-comments-proposed-amendments-arbitration-procedure-codes-%28fed.-reg.%292024-04-12T13:02Znever https://www.findknowdo.com/news/05/23/2016/sec-chief-staff-shares-his-approach-corporate-compliance2021-01-24T02:25Znever https://www.findknowdo.com/news/05/23/2016/sifma-issues-new-model-forms-non-solicitor-municipal-advisors2021-01-13T20:54Znever https://www.findknowdo.com/news/05/23/2016/ffiec-subcommittee-solicits-comment-amc-registry-fee-proposal-%28fed.-reg.%292022-10-28T12:30Znever https://www.findknowdo.com/news/05/23/2016/nfa-president-announces-upcoming-retirement2024-04-05T19:36Znever https://www.findknowdo.com/news/05/24/2016/financial-associations-outline-key-issues-ccp-resolution2024-01-31T02:35Znever https://www.findknowdo.com/news/05/24/2016/cftc-issues-final-cross-border-margin-rule2024-04-06T17:44Znever https://www.findknowdo.com/news/05/24/2016/ofr-director-promotes-better-data-collection-measure-credit-risk2022-07-27T19:43Znever https://www.findknowdo.com/news/05/24/2016/debate-over-data-continues-sifma-seminar-fixed-income-market-structure2024-04-02T19:55Znever https://www.findknowdo.com/news/05/25/2016/finra-proposes-amendments-debt-research-rule2024-04-12T13:01Znever https://www.findknowdo.com/news/05/25/2016/sec-adopts-technical-corrections-business-conduct-standards-%28fed-reg.%292022-08-30T19:08Znever https://www.findknowdo.com/news/05/25/2016/sec-make-inflation-adjustments-net-worth-thresholds-qualified-clients-%28fed.-reg.%292021-01-24T01:57Znever https://www.findknowdo.com/news/05/25/2016/cfpb-requests-comments-proposal-restrict-mandatory-arbitration-clauses-consumer-contracts-%28fed.-reg.%292024-04-12T17:11Znever https://www.findknowdo.com/news/05/25/2016/cftc-renews-charter-market-risk-advisory-committee-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/05/25/2016/sec-requests-comments-msrb-proposal-amend-articles-incorporation-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/05/26/2016/cftc-imposes-fines-attempted-manipulation-and-false-reporting-currency-and-swap-rate-benchmarks2024-04-06T17:44Znever https://www.findknowdo.com/news/05/25/2016/senate-votes-block-dol-fiduciary-rule2020-12-15T06:29Znever https://www.findknowdo.com/news/05/26/2016/finra-provides-practice-guidance-stop-orders-during-volatile-market-conditions-%28finra-reg.-notice-16-19%292024-04-12T13:01Znever https://www.findknowdo.com/news/05/26/2016/cftc-commissioner-giancarlo-warns-against-limiting-producers-ability-hedge2024-04-06T17:44Znever https://www.findknowdo.com/news/05/26/2016/finra-proposes-rule-changes-retail-communications2024-04-12T13:01Znever https://www.findknowdo.com/news/05/27/2016/cftc-grants-registration-three-swap-execution-facilities2024-04-06T17:44Znever https://www.findknowdo.com/news/05/27/2016/cftc-fines-firm-illegal-exchange-transactions-precious-metals2024-04-06T17:44Znever https://www.findknowdo.com/news/05/27/2016/energy-metro-desk-editor-criticizes-cftc-proposed-amendment-rto-iso-rule2024-02-04T04:28Znever https://www.findknowdo.com/news/05/27/2016/weekly-roundup-exchange-rules-category2020-12-15T04:37Znever https://www.findknowdo.com/news/05/27/2016/fdic-extends-comment-deadline-deposit-insurance-recordkeeping-proposal-%28fed.-reg.%292024-04-12T19:07Znever https://www.findknowdo.com/news/05/27/2016/finra-advises-investors-how-prepare-emergency2024-04-12T13:01Znever https://www.findknowdo.com/news/05/27/2016/cftc-hold-roundtable-discussion-regulation2024-04-06T17:44Znever https://www.findknowdo.com/news/05/31/2016/house-financial-services-subcommittee-considers-amendment-investment-advisers-act2022-08-30T19:05Znever https://www.findknowdo.com/news/05/31/2016/cftc-adopts-final-cross-border-margin-rule-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/05/31/2016/reg-tracker-june-1-through-june-152021-01-06T15:33Znever https://www.findknowdo.com/news/05/31/2016/finra-clarifies-oats-reporting-requirements-non-finra-members2024-04-12T13:01Znever https://www.findknowdo.com/news/05/31/2016/cftc-grants-exemptive-relief-cpo-annual-report-certification-requirements-%28cftc-letter-16-55%292024-04-06T17:44Znever https://www.findknowdo.com/news/05/31/2016/msrb-release-permanent-series-50-examination-%28msrb-reg.-notice-16-16%292024-04-12T00:21Znever https://www.findknowdo.com/news/05/31/2016/investment-banker-and-plumber-charged-insider-trading2021-01-16T00:19Znever https://www.findknowdo.com/news/05/31/2016/retail-fx-regulation-expire-july-31-2016-%28fed.-reg.%292024-01-29T03:15Znever https://www.findknowdo.com/news/06/01/2016/sec-requests-comments-msrb-proposal-amend-municipal-security-close-out-procedures-%28fed.-reg.%292024-04-12T00:21Znever https://www.findknowdo.com/news/06/01/2016/regulatory-agencies-seek-comment-net-stable-funding-ratio-requirements-%28fed.-reg.%292024-04-12T21:43Znever https://www.findknowdo.com/news/06/01/2016/cftc-grants-temporary-relief-shanghai-clearinghouse-dco-registration2024-04-06T17:44Znever https://www.findknowdo.com/news/06/01/2016/nfa-urges-swap-dealers-complete-margin-questionnaire2024-04-05T19:36Znever https://www.findknowdo.com/news/06/01/2016/new-york-fed-combine-wholesale-product-office-financial-services-group2024-04-12T21:29Znever https://www.findknowdo.com/news/06/01/2016/members-congress-call-gao-analyze-effect-regulatory-overlap-fintech2024-01-30T19:23Znever https://www.findknowdo.com/news/06/01/2016/sec-charges-firm-fraudulent-circumvention-fund-fee-structure2020-12-15T05:55Znever https://www.findknowdo.com/news/06/01/2016/sec-adopts-interim-final-amendment-form-10-k-filing-requirements2020-12-04T23:35Znever https://www.findknowdo.com/news/06/01/2016/private-equity-fund-adviser-fined-failing-register-broker2022-08-30T19:06Znever https://www.findknowdo.com/news/06/02/2016/sec-requests-comment-finras-proposal-extend-tier-size-pilot-%28fed.-reg.%292020-12-15T06:22Znever https://www.findknowdo.com/news/06/02/2016/cftc-requests-comments-proposal-allow-sidcos-maintain-federal-reserve-bank-customer-accounts-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/02/2016/cftc-allows-fbots-offer-direct-access-trading-u.s.-participants2024-04-06T17:44Znever https://www.findknowdo.com/news/06/02/2016/cfpb-proposes-rule-aimed-protecting-customers-payday-loans2024-04-12T17:11Znever https://www.findknowdo.com/news/06/02/2016/treasury-requests-reports-certain-t-note-holders2024-04-02T19:55Znever https://www.findknowdo.com/news/06/02/2016/finra-fines-online-broker-best-execution-violations2024-04-12T13:01Znever https://www.findknowdo.com/news/06/02/2016/sec-charges-brokerage-firm-aml-failures2023-06-04T13:02Znever https://www.findknowdo.com/news/06/02/2016/sec-grants-limited-exemption-exchange-tick-size-pilot-requirements2020-12-15T04:23Znever https://www.findknowdo.com/news/06/02/2016/bitcoin-exchange-charged-unregistered-fcm2024-04-06T17:44Znever https://www.findknowdo.com/news/06/02/2016/iosco-survey-suggests-improvements-audit-committee-practices2022-12-03T14:10Znever https://www.findknowdo.com/news/06/03/2016/finra-proposes-third-partial-amendment-tba-margin-proposal2024-04-12T13:01Znever https://www.findknowdo.com/news/06/02/2016/associations-file-complaint-against-dol-fiduciary-rule2024-01-30T18:17Znever https://www.findknowdo.com/news/06/03/2016/cftc-reopen-comment-period-specific-elements-regulation2024-04-06T17:44Znever https://www.findknowdo.com/news/06/03/2016/sifma-conference-debates-prudential-regulatory-developments-post-dodd-frank-act2021-01-13T20:40Znever https://www.findknowdo.com/news/06/03/2016/sec-chair-white-summarizes-equity-market-structure-developments2020-12-04T23:35Znever https://www.findknowdo.com/news/06/03/2016/sec-names-senior-advisor-cybersecurity-policy2021-03-20T16:47Znever https://www.findknowdo.com/news/06/03/2016/associate-director-enforcement-leave-sec2020-12-15T04:51Znever https://www.findknowdo.com/news/06/03/2016/nrdc-asserts-clean-power-plan-will-keep-climate-preservation-progress-track2020-12-23T01:39Znever https://www.findknowdo.com/news/06/03/2016/bank-international-settlements-examines-data-liquidity-supply2020-12-15T05:44Znever https://www.findknowdo.com/news/06/06/2016/fincen-proposes-prohibitions-against-north-korean-banking-institutions-%28fed.-reg.%292024-04-02T18:52Znever https://www.findknowdo.com/news/06/03/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/06/2016/finra-recaps-monthly-regulatory-activities2024-04-12T13:01Znever https://www.findknowdo.com/news/06/06/2016/cftc-and-esma-sign-mou-recognize-ccps2024-04-06T17:44Znever https://www.findknowdo.com/news/06/06/2016/federal-reserve-solicits-comments-capital-requirements-insurance-companies2024-04-12T21:29Znever https://www.findknowdo.com/news/06/06/2016/finra-issues-registration-deadline-algorithmic-traders-%28finra-reg.-notice-16-21%292024-04-12T13:01Znever https://www.findknowdo.com/news/06/06/2016/house-committee-asks-federal-reserve-about-reported-cyber-incidents2021-03-20T16:47Znever https://www.findknowdo.com/news/06/07/2016/cftc-hold-roundtable-discussion-regulation-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/07/2016/sec-requests-comments-finra-proposal-amend-debt-research-rule-%28fed.-reg.%292024-04-12T13:01Znever https://www.findknowdo.com/news/06/08/2016/iosco-publishes-report-non-gaap-financial-measures2022-12-03T14:10Znever https://www.findknowdo.com/news/06/07/2016/fia-executive-calls-reexamination-post-crisis-regulation2021-06-23T16:03Znever https://www.findknowdo.com/news/06/07/2016/financial-services-committee-unveils-plan-replace-dodd-frank2020-12-24T13:08Znever https://www.findknowdo.com/news/06/07/2016/investment-firm-will-pay-194-million-compensation-proxy-voting-error2020-12-15T05:23Znever https://www.findknowdo.com/news/06/07/2016/ffiec-urges-proactive-cybersecurity-management-interbank-messaging-and-wholesale-payment-networks2022-10-28T12:30Znever https://www.findknowdo.com/news/06/07/2016/fed-requests-comment-enhanced-prudential-standards-systemically-important-insurance-companies2024-04-12T21:29Znever https://www.findknowdo.com/news/06/07/2016/fincen-warns-dont-forget-file-fbar2024-04-02T18:52Znever https://www.findknowdo.com/news/06/08/2016/president-obama-vetoes-congressional-resolution-block-fiduciary-rule2020-12-15T06:54Znever https://www.findknowdo.com/news/06/08/2016/sec-adopts-security-based-swap-confirmation-rules2022-11-19T16:30Znever https://www.findknowdo.com/news/06/08/2016/agencies-extend-living-will-filing-deadline-four-foreign-banks2024-04-12T21:29Znever https://www.findknowdo.com/news/06/08/2016/business-groups-form-transatlantic-financial-regulatory-coherence-coalition2022-11-15T02:35Znever https://www.findknowdo.com/news/06/08/2016/finra-sanctions-firm-supervisory-failures-non-traditional-etfs2024-04-12T13:01Znever https://www.findknowdo.com/news/06/09/2016/cftc-chair-massad-recommends-holistic-approach-central-clearing-regulation2024-04-06T17:44Znever https://www.findknowdo.com/news/06/08/2016/sec-iac-approves-market-structure-recommendations-and-regulation-s-k-concept-release-%28-delta-strategy-group-summary%292020-12-15T05:42Znever https://www.findknowdo.com/news/06/09/2016/sec-requests-comments-adopted-interim-final-amendment-form-10-k-filing-requirements-%28fed.-reg.%292020-12-04T23:35Znever https://www.findknowdo.com/news/06/09/2016/cftc-mrac-examine-ccp-regulation-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/09/2016/cftc-proposes-adding-certain-interest-rate-swaps-mandatory-clearing2024-04-06T17:44Znever https://www.findknowdo.com/news/06/09/2016/sec-enters-npas-two-fcpa-cases2023-06-10T15:19Znever https://www.findknowdo.com/news/06/09/2016/sec-settles-charges-against-firm-safeguards-rule-violations2020-12-15T06:03Znever https://www.findknowdo.com/news/06/09/2016/streetwise-professor-says-supplemental-position-limits-proposal-could-be-worse-%28-apologies-monty-python%292020-12-15T06:59Znever https://www.findknowdo.com/news/06/09/2016/ffiec-solicits-comments-proposed-revisions-cc-rating-system-%28fed.-reg.%292022-10-28T12:30Znever https://www.findknowdo.com/news/06/09/2016/isda-appoints-general-counsel2021-01-15T00:20Znever https://www.findknowdo.com/news/06/10/2016/agencies-request-comment-joint-proposal-limit-incentive-based-compensation-arrangements-covered-institutions-%28fed.-reg.%292024-04-12T21:43Znever https://www.findknowdo.com/news/06/10/2016/finra-proposes-new-rule-consolidate-certain-nasd-regulations2024-04-12T13:01Znever https://www.findknowdo.com/news/06/10/2016/sifma-says-sec-municipal-bond-disclosure-rule-ripe-change2024-02-05T01:50Znever https://www.findknowdo.com/news/06/10/2016/sec-charges-man-investment-fraud2020-12-15T05:41Znever https://www.findknowdo.com/news/06/13/2016/sifma-urges-second-circuit-rehear-fdic-extender-statute-case2021-01-13T20:28Znever https://www.findknowdo.com/news/06/10/2016/sec-settles-charges-foreign-utility-selling-unregistered-bonds-u.s.2024-02-05T02:45Znever https://www.findknowdo.com/news/06/15/2016/insurance-associations-sue-dol-prevent-implementation-fiduciary-rule2024-01-30T18:17Znever https://www.findknowdo.com/news/06/10/2016/cftc-extends-relief-sefs-and-dcms-fix-trade-confirmation-errors-%28cftc-letter-16-58%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/10/2016/cftc-grants-relief-cpo-annual-report-filing-requirements-%28cftc-letter-16-57%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/10/2016/cftc-roundtable-participants-debate-regulation-proposal-%28-delta-strategy-group-summary%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/10/2016/regulatory-agencies-submit-semiannual-regulatory-agendas-%28fed.-reg.%292024-04-12T21:29Znever https://www.findknowdo.com/news/06/10/2016/sifma-amg-publishes-derivatives-package-template-use-when-onboarding-clients2021-01-13T20:54Znever https://www.findknowdo.com/news/06/13/2016/blog-post-examines-recent-proxy-voting-error2021-06-23T16:00Znever https://www.findknowdo.com/news/06/10/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/13/2016/cftc-requests-comments-supplemental-position-limits-proposal-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/13/2016/federal-agencies-allow-84-firms-file-reduced-content-resolution-plans2024-04-12T21:29Znever https://www.findknowdo.com/news/06/13/2016/sec-teaches-investors-how-read-mutual-fund-prospectus2019-06-19T16:28Znever https://www.findknowdo.com/news/06/13/2016/mfa-launches-educational-website-hedge-funds2021-06-23T16:01Znever https://www.findknowdo.com/news/06/13/2016/finra-appoints-next-president-and-ceo2024-04-12T13:01Znever https://www.findknowdo.com/news/06/13/2016/sec-allows-voluntary-online-filing-using-xbrl2020-12-03T05:07Znever https://www.findknowdo.com/news/06/16/2016/sec-settles-charges-against-municipal-advisors-deceptive-practices-california-school-districts2020-12-15T04:53Znever https://www.findknowdo.com/news/06/13/2016/senator-hatch-urges-regulators-provide-answers-green-energy-program2021-06-18T20:46Znever https://www.findknowdo.com/news/06/14/2016/federal-reserve-solicits-comment-capital-requirements-supervised-institutions-engaged-insurance-activities-%28fed.-reg.%292024-04-12T21:29Znever https://www.findknowdo.com/news/06/14/2016/fed-requests-comment-enhanced-prudential-standards-systemically-important-nonbank-financial-companies-%28fed.-reg.%292024-04-12T21:29Znever https://www.findknowdo.com/news/06/15/2016/ffiec-real-estate-appraisal-subcommittee-posts-2015-annual-report2023-06-10T00:17Znever https://www.findknowdo.com/news/06/14/2016/mfa-outlines-suggestions-eu-insolvency-framework2022-11-21T13:12Znever https://www.findknowdo.com/news/06/14/2016/ice-discontinue-swap-data-reporting-certain-transactions2020-12-15T06:00Znever https://www.findknowdo.com/news/06/14/2016/cftc-approves-revisions-reporting-requirements-cleared-swaps2024-04-06T17:44Znever https://www.findknowdo.com/news/06/14/2016/sec-chair-white-highlights-agency-accomplishments-%28-delta-strategy-group-summary%292021-01-24T01:57Znever https://www.findknowdo.com/news/06/14/2016/cftc-solicits-comments-ice-futures-pre-hedging-proposal2024-04-06T17:44Znever https://www.findknowdo.com/news/06/15/2016/sec-request-comments-finra-retail-communications-proposal-published-%28fed.-reg.%292024-04-12T13:01Znever https://www.findknowdo.com/news/06/15/2016/esma-updates-list-ccps-recognized-non-eu-countries2026-01-25T16:03Zyearly https://www.findknowdo.com/news/06/16/2016/sifma-calls-state-governments-improve-municipal-disclosure2024-02-05T01:50Znever https://www.findknowdo.com/news/06/15/2016/msrb-proposes-revisions-series-50-content-outline-%28msrb-reg.-notice-16-17%292024-04-12T00:21Znever https://www.findknowdo.com/news/06/15/2016/gao-urges-cfpb-improve-internal-controls-and-accounting-procedures2024-01-30T19:23Znever https://www.findknowdo.com/news/06/15/2016/reg.-tracker-june-16-through-june-302021-01-06T15:33Znever https://www.findknowdo.com/news/06/15/2016/sec-approves-finra-tba-margin-proposal2024-04-12T13:01Znever https://www.findknowdo.com/news/06/16/2016/federal-register-cftc-request-comments-proposal-add-certain-interest-rate-swaps-mandatory-clearing-published2024-04-06T17:44Znever https://www.findknowdo.com/news/06/16/2016/cftc-mrac-discuss-ccp-default-and-insolvency-scenarios-upcoming-meeting2024-04-06T17:44Znever https://www.findknowdo.com/news/06/16/2016/streetwise-professor-questions-cftcs-ability-evaluate-source-code-under-reg2024-04-06T17:44Znever https://www.findknowdo.com/news/06/16/2016/finra-extends-implementation-cds-margin-requirements-again2024-04-12T13:01Znever https://www.findknowdo.com/news/06/16/2016/sec-charges-former-fda-official-and-hedge-fund-managers-insider-trading2020-12-15T03:02Znever https://www.findknowdo.com/news/06/16/2016/sec-settles-charges-against-administrator-advisers-misconduct2021-01-25T01:09Znever https://www.findknowdo.com/news/06/16/2016/senators-urge-sec-investigate-financial-advisor-misconduct-puerto-rico2024-02-04T16:33Znever https://www.findknowdo.com/news/06/17/2016/senate-finance-committee-debates-energy-tax-policy2019-04-03T19:06Znever https://www.findknowdo.com/news/06/16/2016/fdic-chair-gruenberg-asserts-post-crisis-reforms-strengthen-financial-system2024-04-12T19:07Znever https://www.findknowdo.com/news/06/20/2016/appeals-court-upholds-sec-regulation2021-01-16T00:21Znever https://www.findknowdo.com/news/06/17/2016/cftc-reopens-comment-period-regulation2024-04-06T17:44Znever https://www.findknowdo.com/news/06/17/2016/sec-adopts-rule-timely-acknowledgment-and-verification-security-based-swap-transactions-%28fed.-reg.%292022-01-09T17:29Znever https://www.findknowdo.com/news/06/17/2016/banking-agencies-provide-guidance-new-accounting-standard-estimating-allowances-credit-losses2024-04-12T21:43Znever https://www.findknowdo.com/news/06/17/2016/sec-proposes-consolidating-property-disclosure-requirements-mining-registrants2020-12-15T05:20Znever https://www.findknowdo.com/news/06/17/2016/sec-adopts-technical-amendments-regulation-ab2020-12-15T05:17Znever https://www.findknowdo.com/news/06/17/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/17/2016/wide-range-companies-report-more-difficulty-accessing-needed-financial-services2019-04-03T19:06Znever https://www.findknowdo.com/news/06/21/2016/house-democrat-introduces-energy-storage-act2019-04-03T19:06Znever https://www.findknowdo.com/news/06/21/2016/irs-and-treasury-hold-hearing-jointly-proposed-debt-equity-regulations-%28fed.-reg.%292024-04-04T18:52Znever https://www.findknowdo.com/news/06/20/2016/sec-approves-iexs-registration-national-securities-exchange-updates-automated-trading-interpretation2020-12-15T06:48Znever https://www.findknowdo.com/news/06/21/2016/sec-approves-proposed-finra-tba-margin-requirements-%28fed.-reg.%292020-12-15T06:43Znever https://www.findknowdo.com/news/06/21/2016/irs-reminds-taxpayers-%28again%29-file-fbar-june-30-deadline2024-04-04T18:52Znever https://www.findknowdo.com/news/06/21/2016/senate-democrats-introduce-bill-permit-offshore-wind-production-credit2019-11-01T17:06Znever https://www.findknowdo.com/news/06/21/2016/house-republican-introduces-bill-provide-solar-energy-tax-relief2019-12-12T19:25Znever https://www.findknowdo.com/news/06/21/2016/nfa-reminds-cpos-and-ctas-form-pqr-and-pr-late-fees-are-now-effect2024-04-05T19:36Znever https://www.findknowdo.com/news/06/21/2016/u.s.-district-court-grants-cftc-motion-final-default-judgment-against-florida-companies2024-04-06T17:44Znever https://www.findknowdo.com/news/06/21/2016/cftc-commissioner-bowen-recommends-ways-improve-corporate-governance2024-04-06T17:44Znever https://www.findknowdo.com/news/06/21/2016/finra-hold-election-board-governors2024-04-12T13:00Znever https://www.findknowdo.com/news/06/21/2016/sec-trading-and-markets-deputy-revisits-margin-requirements-central-clearing-and-risk-management2020-12-15T04:22Znever https://www.findknowdo.com/news/06/22/2016/sec-adopts-technical-amendments-regulation-ab-%28fed.-reg.%292020-12-15T06:57Znever https://www.findknowdo.com/news/06/22/2016/finra-proposes-amendments-code-arbitration-procedures2024-04-12T13:00Znever https://www.findknowdo.com/news/06/22/2016/manufacturer-and-subsidiary-pay-over-14-million-fcpa-violations2023-06-10T15:19Znever https://www.findknowdo.com/news/06/22/2016/occ-reminds-banks-request-comment-net-stable-funding-ratio-proposal2024-04-12T21:40Znever https://www.findknowdo.com/news/06/22/2016/fsoc-approves-2016-annual-report-%28-delta-strategy-group-summary%292024-01-31T19:32Znever https://www.findknowdo.com/news/06/22/2016/federal-reserve-vice-chair-responds-critics-gsib-resolution-process2024-04-12T21:29Znever https://www.findknowdo.com/news/06/23/2016/sec-approves-finras-amendments-size-terms-and-election-procedures-nac-%28fed.-reg.%292024-04-12T13:00Znever https://www.findknowdo.com/news/06/23/2016/federal-register-publishes-sec-final-interpretation-automated-quotation-under-reg.-nms2022-12-31T13:56Znever https://www.findknowdo.com/news/06/23/2016/fdic-proposes-revising-credit-rating-references-international-banking-regulations2024-04-12T19:07Znever https://www.findknowdo.com/news/06/23/2016/sec-settles-charges-against-broker-dealer-customer-protection-violations2020-12-15T06:34Znever https://www.findknowdo.com/news/06/24/2016/sec-and-finra-settle-charges-against-firm-misleading-statements-made-retail-investors2024-04-12T13:00Znever https://www.findknowdo.com/news/06/23/2016/representatives-argue-creating-private-right-action-under-cea-will-cause-regulatory-uncertainty2020-12-15T06:46Znever https://www.findknowdo.com/news/06/23/2016/fsb-offers-proposals-address-potential-vulnerabilities-caused-asset-management-activities2021-01-24T05:09Znever https://www.findknowdo.com/news/06/23/2016/occ-names-deputy-comptroller-compliance-supervision2024-04-12T21:40Znever https://www.findknowdo.com/news/06/23/2016/cftc-requests-comment-issues-raised-dco-swap-clearing-requirement-submissions2024-04-06T17:44Znever https://www.findknowdo.com/news/06/24/2016/cftc-grants-cme-no-action-relief-bank-canada-customer-fund-requirements2024-04-06T17:44Znever https://www.findknowdo.com/news/06/24/2016/sec-reviews-form-adv-investor-advisor-brochure-requirements2022-08-30T19:10Znever https://www.findknowdo.com/news/06/24/2016/frb-reviews-2016-dodd-frank-act-supervisory-stress-test-results2024-04-12T21:29Znever https://www.findknowdo.com/news/06/24/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/28/2016/fsoc-appeals-metlife-sifi-decision2024-01-30T18:17Znever https://www.findknowdo.com/news/06/27/2016/sec-requests-comments-proposal-consolidate-property-disclosure-requirements-mining-registrants-%28fed.-reg.%292020-12-15T03:07Znever https://www.findknowdo.com/news/06/27/2016/cftc-adopts-amendments-swap-data-recordkeeping-and-reporting-requirements-cleared-swaps-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/27/2016/cftc-adjusts-civil-monetary-penalties-inflation-%28fed.-reg.%292024-04-06T17:44Znever https://www.findknowdo.com/news/06/27/2016/mrac-reviews-agency-coordination-a-ccp-or-bank-resolution2024-04-06T17:44Znever https://www.findknowdo.com/news/06/27/2016/associations-urge-cftc-prioritize-pre-trade-risk-controls2024-04-06T17:44Znever https://www.findknowdo.com/news/06/27/2016/isda-urges-regulators-realign-derivatives-margin-implementation-schedules2021-01-15T00:20Znever https://www.findknowdo.com/news/06/27/2016/sec-adopts-interim-final-rule-adjusting-federal-civil-monetary-penalties-inflation2020-12-15T04:51Znever https://www.findknowdo.com/news/06/28/2016/sec-adopts-rules-requiring-payment-disclosures-resource-extraction-issuers2020-12-04T23:35Znever https://www.findknowdo.com/news/06/28/2016/streetwise-professor-discusses-financial-and-regulatory-implications-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/28/2016/energy-metro-desk-editor-argues-necessity-proposed-reg.-source-code-access2024-02-04T04:28Znever https://www.findknowdo.com/news/06/28/2016/cftc-grants-sef-registration-clear-markets-north-america-inc.2024-04-06T17:44Znever https://www.findknowdo.com/news/06/28/2016/sec-chair-white-outlines-sec-disclosure-developments2020-12-24T15:23Znever https://www.findknowdo.com/news/06/28/2016/sec-chief-staff-calls-greater-international-regulatory-cooperation2020-12-15T02:58Znever https://www.findknowdo.com/news/06/28/2016/sec-proposes-expansion-qualification-requirements-smaller-reporting-companies2020-12-15T06:34Znever https://www.findknowdo.com/news/06/28/2016/nasd-investment-securities-rule-be-transferred-consolidated-finra-rulebook-%28fed.-reg.%292024-04-12T13:00Znever https://www.findknowdo.com/news/06/28/2016/finra-proposes-expanded-dissemination-cmo-trade-information2024-04-12T13:00Znever https://www.findknowdo.com/news/06/29/2016/sec-proposes-requiring-business-continuity-and-transition-plans-investment-advisers2021-01-25T01:09Znever https://www.findknowdo.com/news/06/29/2016/iosco-and-cpmi-update-status-pfmi-implementation2021-01-16T19:10Znever https://www.findknowdo.com/news/06/29/2016/cpmi-and-iosco-provide-global-cybersecurity-guidance2021-03-20T16:46Znever https://www.findknowdo.com/news/06/30/2016/federal-register-fdic-requests-comments-proposal-revise-credit-rating-references-international-banking-regulations2024-04-12T19:06Znever https://www.findknowdo.com/news/06/29/2016/finra-fines-firm-submitting-inaccurate-and-late-blue-sheet-trade-information2024-04-12T13:00Znever https://www.findknowdo.com/news/06/30/2016/cftc-oks-cboe-futures-trade-practice-surveillance-program2024-04-06T17:44Znever https://www.findknowdo.com/news/06/29/2016/fsoc-rescinds-systemically-important-designation-ge-capital2022-07-27T18:55Znever https://www.findknowdo.com/news/06/29/2016/sec-charges-family-member-company-employee-insider-trading2020-12-15T03:02Znever https://www.findknowdo.com/news/06/29/2016/sec-appoints-co-chief-division-enforcement-asset-management-unit2021-01-24T05:04Znever https://www.findknowdo.com/news/06/30/2016/reg.-tracker-july-1-through-july-152021-01-06T15:33Znever https://www.findknowdo.com/news/06/30/2016/sec-chief-international-corporate-finance-leave-agency2020-01-20T22:43Znever https://www.findknowdo.com/news/07/01/2016/senator-warren-urges-regulators-break-sector-concentration2019-11-01T17:06Znever https://www.findknowdo.com/news/06/30/2016/democrats-introduce-bill-increase-oversight-derivatives-%28-delta-strategy-group-summary%292020-12-15T05:40Znever https://www.findknowdo.com/news/07/01/2016/federal-register-sec-adopts-interim-final-rule-adjusting-inflation-federal-civil-monetary-penalties2021-01-24T02:25Znever https://www.findknowdo.com/news/07/01/2016/federal-register-sec-requests-comments-expansion-qualification-requirements-smaller-reporting-companies2020-12-04T23:35Znever https://www.findknowdo.com/news/07/01/2016/msrb-proposes-rule-provide-academic-institutions-rtrs-data2024-04-12T00:21Znever https://www.findknowdo.com/news/07/01/2016/finra-outlines-requirements-consolidated-employee-trading-rule-%28finra-reg.-notice-16-22%292024-04-12T12:59Znever https://www.findknowdo.com/news/07/01/2016/legislators-boast-shrinking-size-ge-capital-proves-dodd-frank-success2022-07-27T18:55Znever https://www.findknowdo.com/news/07/01/2016/frb-releases-stress-test-results-large-u.s.-bank-holding-companies2024-04-12T21:28Znever https://www.findknowdo.com/news/07/01/2016/finra-president-and-ceo-reflects-success-2015-initiatives2024-04-12T12:59Znever https://www.findknowdo.com/news/07/01/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/05/2016/federal-register-sec-proposes-rule-requiring-business-continuity-and-transition-plans-investment-advisers2020-12-15T05:41Znever https://www.findknowdo.com/news/07/05/2016/federal-register-sec-requests-comments-extension-program-margin-requirements-credit-default-swaps2024-04-12T12:59Znever https://www.findknowdo.com/news/07/05/2016/federal-register-sec-requests-comments-msrb-proposal-revise-series-50-content-outline2024-04-12T00:21Znever https://www.findknowdo.com/news/07/05/2016/finra-lowers-continuing-education-testing-fee2024-04-12T12:59Znever https://www.findknowdo.com/news/07/05/2016/ecb-examines-systemic-risks-shadow-banking2021-01-12T05:15Znever https://www.findknowdo.com/news/07/06/2016/federal-register-sec-requests-comments-finra-proposal-expand-dissemination-cmo-trade-information2024-04-12T12:59Znever https://www.findknowdo.com/news/07/06/2016/isda-reminds-firms-stp-compliance-requirement2021-06-22T18:18Znever https://www.findknowdo.com/news/07/06/2016/house-passes-three-financial-services-bills2021-02-01T20:31Znever https://www.findknowdo.com/news/07/06/2016/democrats-urge-sidcos-make-recovery-and-resolution-plans-public2024-01-31T02:35Znever https://www.findknowdo.com/news/07/06/2016/streetwise-professor-questions-regulators-ability-prevent-next-financial-crisis2024-01-31T02:35Znever https://www.findknowdo.com/news/07/06/2016/cftc-settles-charges-against-bank-inaccurate-large-trader-reports2024-04-06T17:44Znever https://www.findknowdo.com/news/07/07/2016/federal-register-sec-requests-comments-finra-partial-amendment-no.-2-proposed-rules-capital-acquisition-brokers2024-04-12T12:59Znever https://www.findknowdo.com/news/07/07/2016/federal-register-sec-requests-comments-finra-proposal-create-academic-corporate-bond-trace-data-product2024-04-12T12:59Znever https://www.findknowdo.com/news/07/07/2016/cftc-reminds-fcms-and-ibs-their-fincen-and-ofac-suspicious-activity-reporting-obligations2024-04-06T17:44Znever https://www.findknowdo.com/news/07/07/2016/isda-ceo-reacts-market-uncertainty-created-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/07/2016/board-governors-federal-reserve-system-extends-volcker-rule-conformance-period2024-04-12T21:28Znever https://www.findknowdo.com/news/07/08/2016/nysdfs-adopts-enhanced-aml-and-bsa-compliance-requirements2024-02-03T23:12Znever https://www.findknowdo.com/news/07/07/2016/sifma-urges-cfpb-defer-regulatory-authority-over-arbitration-clauses-used-sec-regulated-entities2021-01-13T20:54Znever https://www.findknowdo.com/news/07/08/2016/finra-proposes-non-substantive-and-technical-revisions-consolidated-rulebook2024-04-12T12:59Znever https://www.findknowdo.com/news/07/08/2016/finra-sets-dates-resetting-synchronization-tolerances-nms-and-otc-computer-clocks2024-04-12T12:59Znever https://www.findknowdo.com/news/07/08/2016/consent-order-settles-cftc-charges-over-money-pass-scheme2024-04-06T17:44Znever https://www.findknowdo.com/news/07/08/2016/federal-register-sec-requests-comment-sdr-registration-application2024-01-31T03:13Znever https://www.findknowdo.com/news/07/08/2016/sec-extends-sdr-registration-compliance-date2024-01-31T03:13Znever https://www.findknowdo.com/news/07/08/2016/senator-warren-calls-sec-justify-disclosure-effectiveness-initiative2020-12-23T18:10Znever https://www.findknowdo.com/news/07/11/2016/sec-vote-sbs-reporting-order-handling-rules-and-disclosure-amendments2022-08-30T19:10Znever https://www.findknowdo.com/news/07/08/2016/sec-emsac-approves-recommendations-nms-access-fee-cap-pilot-program2024-01-31T19:32Znever https://www.findknowdo.com/news/07/08/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/12/2016/associations-object-proposed-revisions-basel-iii-leverage-ratio-framework2021-01-15T00:21Znever https://www.findknowdo.com/news/07/11/2016/sec-commissioner-piwowar-calls-sec-issue-t2-proposal-immediately2020-12-15T05:51Znever https://www.findknowdo.com/news/07/11/2016/federal-register-cfpb-requests-comment-proposal-exempt-firms-annual-privacy-notice-requirements2024-04-12T17:11Znever https://www.findknowdo.com/news/07/11/2016/cftc-fines-palm-oil-trader-reporting-violations2024-04-06T17:44Znever https://www.findknowdo.com/news/07/11/2016/cftc-fines-cotton-company-reporting-failures2024-04-06T17:44Znever https://www.findknowdo.com/news/07/11/2016/financial-services-committee-report-faults-doj-and-treasury-failure-prosecute-major-banking-institution2020-12-15T02:29Znever https://www.findknowdo.com/news/07/11/2016/senator-encourages-sec-finalize-liquidity-and-derivatives-proposals2021-01-24T02:25Znever https://www.findknowdo.com/news/07/12/2016/sec-appoints-members-investor-advisory-committee2022-08-30T19:08Znever https://www.findknowdo.com/news/07/13/2016/occ-report-updates-risk-factors-facing-national-banks-and-federal-savings-associations2024-04-12T21:40Znever https://www.findknowdo.com/news/07/12/2016/federal-reserve-board-governor-tarullo-calls-regulatory-approach-runnable-funding2024-04-12T21:28Znever https://www.findknowdo.com/news/07/29/2016/democrats-and-republicans-stake-out-positions-financial-regulation2024-02-12T02:40Znever https://www.findknowdo.com/news/07/12/2016/firm-pay-largest-sec-penalty-date-blue-sheet-violations2020-12-16T23:41Znever https://www.findknowdo.com/news/07/12/2016/fsc-considers-capital-requirements-under-proposed-choice-act2021-06-22T14:36Znever https://www.findknowdo.com/news/07/13/2016/federal-register-sec-requests-comment-finra-proposal-clarify-debt-research-communications2024-04-12T12:59Znever https://www.findknowdo.com/news/07/13/2016/senator-introduces-bill-establish-investment-tax-credits-business-and-residential-energy-storage2019-04-03T19:05Znever https://www.findknowdo.com/news/07/13/2016/house-passes-capital-formation-legislation2021-06-23T15:06Znever https://www.findknowdo.com/news/07/13/2016/cftc-extends-comment-period-ice-futures-pre-hedging-proposal2024-04-06T17:44Znever https://www.findknowdo.com/news/07/13/2016/sec-adopts-amendments-rules-governing-administrative-proceedings2020-12-15T03:15Znever https://www.findknowdo.com/news/07/13/2016/sec-adopts-security-based-swap-transaction-reporting-amendments-and-guidance2024-01-31T03:13Znever https://www.findknowdo.com/news/07/13/2016/sec-proposes-expansion-order-handling-disclosure-requirements2023-01-01T20:29Znever https://www.findknowdo.com/news/07/13/2016/sec-proposes-amendments-update-and-simplify-disclosure-requirements2020-12-15T06:05Znever https://www.findknowdo.com/news/07/14/2016/house-science-space-and-technology-committee-examines-fdic-cybersecurity2024-04-12T19:06Znever https://www.findknowdo.com/news/07/14/2016/representative-peter-defazio-introduces-bill-tax-trading2020-12-04T22:39Znever https://www.findknowdo.com/news/07/14/2016/isda-releases-protocol-assist-market-participants-bank-recovery-and-resolution-directive2021-01-15T00:20Znever https://www.findknowdo.com/news/07/14/2016/house-agriculture-committee-reviews-regulation-proposal-%28-delta-strategy-group-summary%292022-11-19T22:39Znever https://www.findknowdo.com/news/07/15/2016/finra-notifies-members-modifications-electronic-blue-sheet-data-elements-%28finra-reg.-notice-16-24%292024-04-12T12:59Znever https://www.findknowdo.com/news/07/15/2016/sec-investor-advisory-committee-reviews-sustainability-reporting-and-investment-company-reporting-modernization2022-08-30T19:08Znever https://www.findknowdo.com/news/07/14/2016/sec-sets-meeting-agenda-advisory-committee-small-and-emerging-companies2022-08-30T19:10Znever https://www.findknowdo.com/news/07/15/2016/advisory-firm-censured-inadequate-disclosure-trading-costs-wrap-accounts2022-12-31T12:03Znever https://www.findknowdo.com/news/07/15/2016/bank-regulators-issue-final-revisions-interagency-qa-community-reinvestment-act-regulations2024-04-12T21:40Znever https://www.findknowdo.com/news/07/15/2016/sec-investor-bulletin-explains-variable-annuity-buyout-offers-emphasizes-optionality-investors2024-01-30T18:17Znever https://www.findknowdo.com/news/07/15/2016/sec-clarifies-relationship-between-exchange-act-and-hart-scott-rodino2022-08-30T19:08Znever https://www.findknowdo.com/news/07/15/2016/finra-board-governors-elects-new-chairman2024-04-12T12:59Znever https://www.findknowdo.com/news/07/15/2016/irs-and-treasury-hold-hearing-proposed-section-385-debt/equity-distinctions2024-04-04T18:52Znever https://www.findknowdo.com/news/07/15/2016/house-agriculture-committee-leadership-asks-regulators-try-restore-schedule-rules-margin-uncleared-swaps2021-06-23T15:04Znever https://www.findknowdo.com/news/07/15/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/18/2016/cftc-extends-dtcc-swift-designation-lei-provider2024-04-06T17:44Znever https://www.findknowdo.com/news/07/18/2016/energy-metro-desk-editor-examines-republican-plan-replace-dodd-frank2024-02-04T04:28Znever https://www.findknowdo.com/news/07/18/2016/ici-calls-fsoc-reconsider-position-financial-stability-risk-and-mutual-funds2021-01-24T01:37Znever https://www.findknowdo.com/news/07/18/2016/finra-proposes-expanded-application-trace-reporting-requirements2024-04-12T12:59Znever https://www.findknowdo.com/news/07/19/2016/sec-advisory-committee-reviews-regulation-and-crowdfunding2020-12-15T04:53Znever https://www.findknowdo.com/news/07/19/2016/finra-fines-firm-failing-detect-theft-variable-annuity-account2024-04-12T12:59Znever https://www.findknowdo.com/news/07/20/2016/second-round-reg.-comments-reflects-broad-concerns-market-participants2022-11-19T22:39Znever https://www.findknowdo.com/news/07/19/2016/cftc-proposal-mandate-broader-clearing-interest-rate-swaps-receives-conditional-support2024-04-06T17:44Znever https://www.findknowdo.com/news/07/20/2016/treasury-department-reorganizes-u.s.-eu-regulatory-forum2024-04-02T19:55Znever https://www.findknowdo.com/news/07/20/2016/federal-register-sec-requests-comments-msrb-proposal-provide-academic-institutions-rtrs-data2024-04-12T00:21Znever https://www.findknowdo.com/news/07/20/2016/federal-register-sec-requests-comments-technical-revisions-consolidated-rulebook2024-04-12T12:59Znever https://www.findknowdo.com/news/07/20/2016/msrb-directors-debate-corporate-and-regulatory-issues-upcoming-board-meeting2024-04-12T00:21Znever https://www.findknowdo.com/news/07/20/2016/aaf-researchers-say-dodd-franks-sixth-year-its-most-expensive-yet2020-12-15T04:09Znever https://www.findknowdo.com/news/07/22/2016/sec-division-trading-and-markets-grants-introducing-brokers-no-action-relief-sec-custody-rule2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/07/21/2016/isda-analyzes-effect-clearing-and-compression-interest-rate-derivatives2022-11-19T16:29Znever https://www.findknowdo.com/news/07/21/2016/federal-register-cftc-extends-dtcc-swift-designation-lei-provider2024-04-06T17:44Znever https://www.findknowdo.com/news/07/21/2016/treasury-secretary-lauds-wall-street-reform-sixth-anniversary-dodd-frank2024-04-02T19:55Znever https://www.findknowdo.com/news/07/21/2016/cftc-provides-guidance-clearinghouse-plans-recovery-and-wind-down2024-04-06T17:44Znever https://www.findknowdo.com/news/07/22/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/22/2016/finra-reminds-customers-associated-persons-and-member-firms-arbitration-rules2024-04-12T12:59Znever https://www.findknowdo.com/news/07/22/2016/finra-proposes-rule-change-clarify-trading-restrictions-following-a-trading-pause-or-regulatory-halt2024-04-12T12:59Znever https://www.findknowdo.com/news/07/25/2016/federal-agencies-propose-new-approach-exemption-thresholds-higher-risk-mortgage-appraisal-requirements2024-04-12T21:40Znever https://www.findknowdo.com/news/07/25/2016/cftc-clarifies-cco-reporting-requirements-and-supervisory-relationships2024-04-06T17:44Znever https://www.findknowdo.com/news/07/25/2016/financial-services-committee-chair-bemoans-dodd-franks-unhappy-anniversary2021-06-22T21:15Znever https://www.findknowdo.com/news/07/25/2016/msrb-files-partial-amendment-municipal-security-close-out-proposal2024-04-12T00:21Znever https://www.findknowdo.com/news/07/25/2016/ocie-unveils-share-class-initiative-identify-potential-conflicts-interest2022-12-31T12:03Znever https://www.findknowdo.com/news/07/25/2016/g20-describes-path-global-economic-recovery2021-06-22T21:10Znever https://www.findknowdo.com/news/07/25/2016/isda-publishes-hong-kong-clearing-classification-letter2022-07-30T23:38Znever https://www.findknowdo.com/news/07/27/2016/industry-groups-urge-sec-amend-reproposed-rule-incentive-based-compensation2024-02-03T18:37Znever https://www.findknowdo.com/news/07/26/2016/cftc-awards-whistleblower-information-leading-enforcement-action2024-04-06T17:44Znever https://www.findknowdo.com/news/07/26/2016/fed-extends-comment-period-proposal-concerning-capital-requirements-insurance-companies2024-04-12T21:28Znever https://www.findknowdo.com/news/08/01/2016/covering-what-you-need-know-and-nothing-more2019-04-03T19:05Znever https://www.findknowdo.com/news/07/26/2016/ofr-says-brexit-could-pose-risk-u.s.-financial-stability2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/26/2016/exemptive-relief-cpos-filing-annual-report-%28cftc-letter-16-63%292024-04-06T17:44Znever https://www.findknowdo.com/news/07/27/2016/cme-group-proposes-new-clearing-member-category-proprietary-trading-firms2024-04-05T18:43Znever https://www.findknowdo.com/news/07/28/2016/esma-issues-guidance-extension-alternative-fund-passport-non-eu-countries2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/27/2016/federal-register-sec-publishes-adoption-rules-requiring-payment-disclosures-resource-extraction-issuers2020-12-04T23:35Znever https://www.findknowdo.com/news/07/27/2016/federal-register-sec-publishes-proposal-expand-order-handling-disclosure-requirements2023-01-01T20:29Znever https://www.findknowdo.com/news/07/27/2016/finra-proposes-requiring-arbitration-parties-use-online-dispute-resolution-portal2024-04-12T12:59Znever https://www.findknowdo.com/news/07/28/2016/sec-settles-charges-against-bank-misleading-statements-about-foreign-currency-exchange-trade-prices2022-12-31T12:49Znever https://www.findknowdo.com/news/07/27/2016/cftc-proposes-amending-registration-exemptions-certain-foreign-entities2024-04-06T17:44Znever https://www.findknowdo.com/news/07/28/2016/nasaa-requests-comments-proposal-amend-reit-guidelines2024-02-03T22:51Znever https://www.findknowdo.com/news/07/28/2016/cftc-and-canadian-financial-regulators-sign-mou2024-04-06T17:44Znever https://www.findknowdo.com/news/07/29/2016/federal-register-sec-final-amendments-rules-governing-administrative-proceedings-published2020-12-15T03:56Znever https://www.findknowdo.com/news/07/29/2016/two-firms-charged-unlawful-exchange-binary-options-trading2024-04-06T17:44Znever https://www.findknowdo.com/news/07/29/2016/sec-emsac-examine-market-quality-and-customer-issues2022-11-19T19:43Znever https://www.findknowdo.com/news/07/29/2016/senators-call-federal-agencies-clarify-fintech-oversight2020-12-15T04:09Znever https://www.findknowdo.com/news/07/29/2016/sec-urges-appeals-court-dismiss-petition-review-msrb-pay-play-rule2024-02-04T16:32Znever https://www.findknowdo.com/news/07/29/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/01/2016/finra-adopts-amendments-clarify-trading-restrictions-following-a-trading-pause-or-regulatory-halt-%28finra-reg.-notice-16-26%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/01/2016/fdic-requests-comments-proposed-updates-bank-appeals-guidelines2024-04-12T19:06Znever https://www.findknowdo.com/news/08/01/2016/fdic-requests-comments-proposed-examination-guidance-third-party-lending2024-04-12T19:06Znever https://www.findknowdo.com/news/08/01/2016/msrb-board-considers-proposals-improve-transparency-municipal-bond-market2024-04-12T00:21Znever https://www.findknowdo.com/news/08/02/2016/fca-requests-comments-proposed-changes-handbook-mifid-ii-implementation2022-12-03T16:44Znever https://www.findknowdo.com/news/08/02/2016/federal-register-prudential-regulators-finalize-hedging-exemption-swaps-margin-requirements2024-04-12T21:40Znever https://www.findknowdo.com/news/08/04/2016/energy-metro-desk-editor-supports-reg.-ats-source-code-provision2024-02-04T04:28Znever https://www.findknowdo.com/news/08/02/2016/fia-ptg-encourages-cftc-approve-ice-futures-pre-hedging-proposal2021-01-13T19:23Znever https://www.findknowdo.com/news/08/03/2016/regulators-highlight-progress-treasury-market-structure2024-04-12T21:27Znever https://www.findknowdo.com/news/09/18/2017/us-regulatory-intelligences-tba-focus-page-offers-4210-research-and-compliance-tools2024-09-23T18:12Zyearly https://www.findknowdo.com/news/08/02/2016/emsac-considers-recommendations-trading-and-disclosure2022-08-30T19:05Znever https://www.findknowdo.com/news/08/03/2016/federal-register-finra-proposes-rule-change-clarifying-trading-restrictions-after-trading-pause-or-regulatory-halt2024-04-12T12:59Znever https://www.findknowdo.com/news/08/04/2016/federal-register-sec-approves-iexs-registration-national-securities-exchange2020-12-04T22:39Znever https://www.findknowdo.com/news/08/03/2016/msrb-names-officers-and-board-members-fiscal-year-20172024-04-12T00:21Znever https://www.findknowdo.com/news/08/03/2016/agencies-extend-filing-deadline-resolution-plans2024-04-12T21:28Znever https://www.findknowdo.com/news/08/03/2016/agencies-provide-guidance-how-submit-diversity-self-assessments2024-04-12T21:40Znever https://www.findknowdo.com/news/08/04/2016/sec-takes-no-action-position-beverage-companies-merger-plan2020-12-04T23:35Znever https://www.findknowdo.com/news/08/03/2016/finra-fines-bank-1.3-million-oats-reporting-violations2024-04-12T12:59Znever https://www.findknowdo.com/news/08/03/2016/fed-orders-firm-pay-36.3-million-penalty-unauthorized-use-confidential-supervisory-information2024-04-12T21:27Znever https://www.findknowdo.com/news/08/05/2016/emsac-considers-responses-market-quality-recommendations2022-11-21T16:23Znever https://www.findknowdo.com/news/08/04/2016/federal-register-sec-requests-comments-amendments-disclosure-requirements2022-12-03T14:10Znever https://www.findknowdo.com/news/08/04/2016/finra-proposes-amending-procedures-relating-motions-dismiss-arbitration2024-04-12T12:59Znever https://www.findknowdo.com/news/08/04/2016/cftc-settles-charges-against-fcm-supervisory-failures2024-04-06T17:44Znever https://www.findknowdo.com/news/08/04/2016/cftc-addresses-cross-border-guidance-again2024-04-06T17:44Znever https://www.findknowdo.com/news/08/04/2016/congressional-democrats-commend-cfpb-proposing-prohibition-mandatory-arbitration-clauses2020-12-24T04:52Znever https://www.findknowdo.com/news/08/04/2016/sec-reinstates-suspended-accountant2022-12-03T14:10Znever https://www.findknowdo.com/news/08/04/2016/msrb-clarifies-political-contributions-rulemaking2024-04-12T00:21Znever https://www.findknowdo.com/news/08/05/2016/federal-register-cftc-proposes-amendments-cpo-annual-report-requirements2024-04-06T17:44Znever https://www.findknowdo.com/news/08/05/2016/federal-register-cftc-proposes-amendments-registration-exemptions-certain-foreign-entities2024-04-06T17:44Znever https://www.findknowdo.com/news/08/05/2016/fdic-extends-comment-period-proposed-examination-guidance-third-party-lending2024-04-12T19:06Znever https://www.findknowdo.com/news/08/05/2016/sec-office-investor-education-and-advocacy-reviews-mutual-fund-classes2021-01-24T01:17Znever https://www.findknowdo.com/news/08/05/2016/finra-announces-effective-date-new-laws-size-terms-and-election-procedures-nac2024-04-12T12:59Znever https://www.findknowdo.com/news/08/05/2016/iosco-requests-comments-study-liquidity-corporate-bond-markets2021-01-16T19:10Znever https://www.findknowdo.com/news/08/05/2016/georgia-trader-pleads-guilty-hacked-news-release-scheme2020-12-15T03:53Znever https://www.findknowdo.com/news/08/05/2016/weekly-roundup-exchange-rules-category2022-02-26T09:57Znever https://www.findknowdo.com/news/08/08/2016/state-regulators-announce-100-million-settlement-bank-libor-manipulation2020-12-15T03:38Znever https://www.findknowdo.com/news/08/08/2016/finra-fines-bank-12.5-inadequate-supervision-squawk-boxes2024-04-12T12:59Znever https://www.findknowdo.com/news/08/08/2016/finra-sets-effective-date-rule-submission-ats-specific-order-information-%28finra-reg.-notice-16-28%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/08/2016/streetwise-professor-claims-bipartisan-support-restoring-glass-steagall-misguided2020-12-15T03:25Znever https://www.findknowdo.com/news/08/08/2016/cftc-announces-three-measures-bolster-protection-customer-funds2024-04-06T17:44Znever https://www.findknowdo.com/news/08/09/2016/sifma-amg-urges-depository-trust-and-clearing-corp.-revise-swap-data-repository-application2024-01-31T03:13Znever https://www.findknowdo.com/news/08/08/2016/federal-agencies-issue-annual-hart-scott-rodino-premerger-notification-report2024-04-03T20:17Znever https://www.findknowdo.com/news/08/09/2016/federal-register-sec-approves-addition-iex-exchange-act-plan-and-allocates-regulatory-responsibility2024-01-31T19:32Znever https://www.findknowdo.com/news/08/09/2016/msrb-provides-guidance-reporting-transactions-municipal-securities-%28msrb-reg.-notice-2016-19%292024-04-12T00:21Znever https://www.findknowdo.com/news/08/10/2016/finra-proposes-amendments-rules-gifts-gratuities-and-non-cash-compensation-%28finra-reg.-notice-16-29%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/09/2016/cftc-requests-comments-proposal-amend-cco-annual-report-requirements2024-04-06T17:43Znever https://www.findknowdo.com/news/08/10/2016/finra-educates-investors-about-order-types2024-04-12T12:59Znever https://www.findknowdo.com/news/08/09/2016/sec-charges-individuals-and-firms-deceiving-customers-about-commissions2022-08-30T19:08Znever https://www.findknowdo.com/news/08/09/2016/mfa-criticizes-fed-proposal-stay-contractual-requirements-gsibs2021-01-13T17:56Znever https://www.findknowdo.com/news/08/10/2016/federal-register-sec-requests-comments-process-add-iex-plan-participant2024-01-31T19:32Znever https://www.findknowdo.com/news/08/10/2016/afl-cio-sets-record-straight-claims-sec-chair-mischaracterized-stance-disclosure-initiative2022-08-30T19:04Znever https://www.findknowdo.com/news/08/10/2016/finra-reminds-firms-report-execution-times-accurately-trace-eligible-securities-transactions-%28finra-reg.-notice-16-30%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/10/2016/sec-names-co-head-investment-adviser/investment-company-examination-program2021-01-24T01:48Znever https://www.findknowdo.com/news/08/11/2016/sec-settles-charges-against-company-discouraging-whistleblowers2024-01-30T02:46Znever https://www.findknowdo.com/news/08/11/2016/gao-confirms-cfpb-cooperation-small-business-review-panels2024-04-12T17:11Znever https://www.findknowdo.com/news/08/11/2016/finra-proposes-making-available-alternative-display-facility-trade-reporting-only2024-04-12T12:59Znever https://www.findknowdo.com/news/08/12/2016/federal-register-cftc-requests-comments-proposal-amend-cco-annual-report-requirements2024-04-06T17:43Znever https://www.findknowdo.com/news/08/12/2016/federal-register-cftc-adopts-final-order-allow-sidcos-maintain-federal-reserve-bank-customer-accounts2024-04-06T17:43Znever https://www.findknowdo.com/news/08/12/2016/federal-register-sec-adopts-final-amendments-security-based-swap-reporting-requirements2020-12-14T08:25Znever https://www.findknowdo.com/news/08/12/2016/finra-announces-effective-dates-tba-margin-requirements-%28finra-reg.-notice-16-31%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/12/2016/nfa-amend-compliance-rules-correspond-changes-fincen-customer-due-diligence-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/08/12/2016/weekly-roundup-exchange-rules-category2020-12-15T03:33Znever https://www.findknowdo.com/news/08/12/2016/new-york-federal-reserve-bank-names-executive-vice-president-and-general-counsel2024-04-12T21:27Znever https://www.findknowdo.com/news/08/15/2016/finra-proposes-expansion-chairperson-eligibility-arbitration2024-04-12T12:59Znever https://www.findknowdo.com/news/08/12/2016/finra-proposes-additional-disclosure-retail-customers-fixed-income-securities-transactions2024-04-12T12:59Znever https://www.findknowdo.com/news/08/12/2016/msrb-delays-able-act-reporting-requirements-%28msrb-reg.-notice-16-20%292024-04-12T00:21Znever https://www.findknowdo.com/news/08/15/2016/finra-announces-national-adjudicatory-council-nominees2024-04-12T12:59Znever https://www.findknowdo.com/news/08/15/2016/isda-ceo-articulates-principles-regulating-ccp-resolution2024-01-31T02:35Znever https://www.findknowdo.com/news/08/15/2016/federal-register-cfpb-proposes-amending-federal-mortgage-disclosure-requirements2024-04-12T17:11Znever https://www.findknowdo.com/news/08/16/2016/federal-register-cftc-issues-final-response-u.s.-district-court-remand-order-swaps-rulemaking-case2024-04-06T17:43Znever https://www.findknowdo.com/news/08/16/2016/nfa-updates-questionnaire-members-annual-supervisory-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/08/16/2016/cftc-settles-charges-against-hedge-fund-operator-supervisory-failures2024-04-06T17:43Znever https://www.findknowdo.com/news/08/16/2016/sec-settles-charges-against-health-insurance-provider-disincentivizing-whistleblowers2024-01-30T02:46Znever https://www.findknowdo.com/news/08/16/2016/sec-settles-charges-against-trader-misleading-rmbs-customers2020-12-15T06:58Znever https://www.findknowdo.com/news/08/16/2016/fia-ptg-disappointed-cftc-delay-swap-dealer-de-minimis-exception2021-01-13T19:23Znever https://www.findknowdo.com/news/08/16/2016/fincen-names-associate-director-enforcement-division2024-04-02T18:52Znever https://www.findknowdo.com/news/08/17/2016/futures-industry-association-examines-treasuries-market-reporting2021-06-18T20:52Znever https://www.findknowdo.com/news/08/17/2016/federal-register-finra-publishes-proposal-requiring-arbitration-parties-use-online-dispute-resolution-portal2024-04-12T12:59Znever https://www.findknowdo.com/news/08/17/2016/federal-register-sec-approves-amendments-finra-arbitration-procedures-require-netting-monetary-awards2024-04-12T12:59Znever https://www.findknowdo.com/news/08/17/2016/federal-register-finra-publishes-proposal-amending-procedures-relating-motions-dismiss-arbitration-proceedings2024-04-12T12:59Znever https://www.findknowdo.com/news/08/17/2016/banking-agencies-propose-modified-versions-call-reports-eligible-small-institutions2024-04-12T19:06Znever https://www.findknowdo.com/news/08/18/2016/international-regulatory-groups-publish-guidance-ccp-resilience-recovery-and-resolution2024-01-31T02:35Znever https://www.findknowdo.com/news/08/18/2016/fed-gets-facebook2024-04-12T21:27Znever https://www.findknowdo.com/news/08/18/2016/iosco-requests-comments-proposed-practices-termination-investment-funds2021-01-24T05:09Znever https://www.findknowdo.com/news/08/18/2016/cpmi-iosco-request-comments-unique-product-identifiers2021-01-16T19:11Znever https://www.findknowdo.com/news/09/18/2017/compliance-support-tool-determines-exempt-accounts-finra-tba-margin-requirements2024-02-04T04:11Znever https://www.findknowdo.com/news/08/18/2016/fsb-issues-guidance-resolution-planning-systemically-important-banks2021-01-16T18:45Znever https://www.findknowdo.com/news/08/18/2016/cftc-charges-retail-foreign-exchange-dealer-undercapitalization-and-related-violations2024-04-06T17:43Znever https://www.findknowdo.com/news/08/19/2016/federal-register-finra-proposes-requiring-additional-disclosure-retail-customers-fixed-income-securities-transactions2024-04-12T12:59Znever https://www.findknowdo.com/news/08/19/2016/federal-register-occ-proposes-mandatory-contractual-stay-requirements-qualified-financial-contracts2024-04-12T21:40Znever https://www.findknowdo.com/news/08/19/2016/msrb-announces-effective-date-mandatory-close-out-requirements-%28msrb-reg.-notice-16-21%292024-04-12T00:21Znever https://www.findknowdo.com/news/08/19/2016/sec-dismisses-charges-broker-dealer-customer-committed-call-options-fraud2020-12-15T05:14Znever https://www.findknowdo.com/news/08/19/2016/finra-replace-web-based-system-interface-short-interest-position-reporting-%28finra-reg.-notice-16-32%292024-04-12T12:59Znever https://www.findknowdo.com/news/08/19/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/19/2016/delay-effective-date-rule-change-clarifying-certain-restrictions-following-a-trading-pause-or-regulatory-halt2024-04-12T12:59Znever https://www.findknowdo.com/news/08/22/2016/sec-warns-investors-about-louisiana-flood-related-insurance-scams2020-12-15T03:45Znever https://www.findknowdo.com/news/08/22/2016/ny-fed-publishes-review-behavioral-risk-management-financial-services-industry2024-04-12T21:27Znever https://www.findknowdo.com/news/09/18/2017/legal-intelligence-tool-determines-which-margin-requirements-apply-specific-transactions2024-02-04T04:11Znever https://www.findknowdo.com/news/08/23/2016/sec-disciplines-private-equity-advisory-firm-disclosure-and-supervisory-failures2022-08-30T19:08Znever https://www.findknowdo.com/news/08/23/2016/sec-addresses-broker-dealer-net-capital-treatment-posted-swaps-margin2020-12-15T06:23Znever https://www.findknowdo.com/news/09/01/2016/cftc-allows-initial-margin-calculations-include-security-based-swaps2024-04-06T17:43Znever https://www.findknowdo.com/news/08/23/2016/ofr-examines-newly-collected-data-securities-lending-activity2022-07-27T19:43Znever https://www.findknowdo.com/news/08/24/2016/cftc-grants-swap-execution-facility-status-seed-sef-llc2024-04-06T17:43Znever https://www.findknowdo.com/news/08/24/2016/sec-urges-finra-reexamine-u.s.-treasury-securities-regulation2024-01-31T19:32Znever https://www.findknowdo.com/news/08/24/2016/sec-advises-sifma-exemptive-rule-principal-trade-must-expire2020-12-15T06:43Znever https://www.findknowdo.com/news/08/24/2016/sec-approves-finra-proposed-rules-capital-acquisition-brokers2024-04-12T12:58Znever https://www.findknowdo.com/news/08/24/2016/federal-register-sec-requests-comments-finras-alternative-display-facility-proposal2024-04-12T12:58Znever https://www.findknowdo.com/news/08/24/2016/federal-register-sec-grants-accelerated-approval-msrbs-close-out-proposal2024-04-12T00:21Znever https://www.findknowdo.com/news/08/24/2016/federal-register-cfpb-requests-comments-proposal-relating-disclosure-records-and-information2024-04-12T17:11Znever https://www.findknowdo.com/news/08/24/2016/sec-charges-71-municipal-issuers-part-mcdc-initiative2024-02-05T01:50Znever https://www.findknowdo.com/news/08/25/2016/finra-notifies-member-firms-effective-date-rule-change-concerning-its-alternative-display-facility-%28finra-reg.-notice-16-33%292024-04-12T12:58Znever https://www.findknowdo.com/news/08/25/2016/federal-register-fincen-requests-comments-proposal-enhance-cip-and-aml-requirements2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/08/25/2016/nfa-replace-paper-ballots-electronic-voting-system2024-04-05T19:36Znever https://www.findknowdo.com/news/08/25/2016/sec-grants-conditional-exemption-credit-rating-agency-nrsro-reporting-requirement2024-01-31T14:59Znever https://www.findknowdo.com/news/08/25/2016/sec-grants-relief-company-ineligible-issuer-status2020-12-15T06:05Znever https://www.findknowdo.com/news/08/25/2016/federal-register-fdic-corrects-final-rule-transferring-responsibility-fair-credit-reporting-regulations-cfpb2024-04-12T19:06Znever https://www.findknowdo.com/news/08/25/2016/sec-grants-exemptive-relief-chilean-power-corporation-tender-offer-requirements2020-01-20T16:32Znever https://www.findknowdo.com/news/08/26/2016/sec-fines-advisory-firms-advertising-false-claims2020-12-15T04:49Znever https://www.findknowdo.com/news/08/25/2016/sec-requests-comments-regulation-s-k-disclosure-requirements2022-08-30T19:10Znever https://www.findknowdo.com/news/08/25/2016/sec-adopts-final-amendments-registration-and-reporting-requirements-investment-advisers2022-08-30T19:08Znever https://www.findknowdo.com/news/08/26/2016/federal-register-sec-requests-comments-msrb-delay-able-act-reporting-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/08/26/2016/federal-register-sec-extends-comment-period-proposal-regarding-property-disclosure-mining-registrants2020-12-15T03:16Znever https://www.findknowdo.com/news/08/26/2016/nasaa-cautions-investors-about-eb-5-fraud2024-02-12T02:40Znever https://www.findknowdo.com/news/08/26/2016/investment-adviser-profession-growing-says-new-report2020-12-15T17:25Znever https://www.findknowdo.com/news/08/26/2016/sec-updates-top-tips-selecting-financial-professional2020-12-15T03:39Znever https://www.findknowdo.com/news/08/26/2016/iosco-report-identifies-good-practices-fund-fees-and-expenses2021-01-24T05:09Znever https://www.findknowdo.com/news/08/26/2016/finra-members-must-designate-intermarket-sweep-orders-exceptions-comply-tick-size-pilot-trade-requirements2024-04-12T12:58Znever https://www.findknowdo.com/news/08/26/2016/finra-proposes-modifying-certain-data-collection-requirements-under-tick-size-pilot2024-04-12T12:58Znever https://www.findknowdo.com/news/08/26/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/29/2016/streetwise-professor-argues-ofr-analysis-central-clearing-flawed2024-02-04T04:28Znever https://www.findknowdo.com/news/08/29/2016/gao-examines-conflict-mineral-disclosures2024-01-30T19:23Znever https://www.findknowdo.com/news/08/29/2016/representative-maloney-urges-regulators-release-trading-metrics-collected-under-volcker-rule2021-02-01T19:39Znever https://www.findknowdo.com/news/08/29/2016/sec-investor-advocate-endorses-municipal-bonds2023-04-24T22:42Znever https://www.findknowdo.com/news/08/30/2016/federal-register-cftc-requests-comment-proposal-revise-whistleblower-awards-process2024-04-06T17:43Znever https://www.findknowdo.com/news/08/30/2016/sec-adopts-rule-requiring-swap-data-repositories-make-data-available-authorities2024-01-31T03:13Znever https://www.findknowdo.com/news/08/30/2016/federal-register-finra-delays-effective-date-proposal-clarifying-restrictions-concerning-volatility-after-trading-or-regulatory-halt2024-04-12T12:58Znever https://www.findknowdo.com/news/08/30/2016/cftc-extends-comment-period-proposed-amendments-regulations-cpo-annual-reports2024-04-06T17:43Znever https://www.findknowdo.com/news/08/30/2016/secs-whistleblower-awards-surpass-100-million2024-01-30T02:46Znever https://www.findknowdo.com/news/08/31/2016/cftc-commissioner-giancarlo-criticizes-u.s.-regulators-refusal-delay-swaps-margin-rules2024-04-06T17:43Znever https://www.findknowdo.com/news/08/31/2016/finra-proposes-expansion-inter-dealer-quotation-system2024-05-08T19:57Znever https://www.findknowdo.com/news/08/31/2016/sec-proposes-requiring-hyperlinks-and-html-formatting-registration-filings2022-08-30T19:10Znever https://www.findknowdo.com/news/08/31/2016/sec-settles-charges-against-investment-bank-proxy-statement-disclosure-violations2020-12-15T06:53Znever https://www.findknowdo.com/news/08/31/2016/federal-register-sec-requests-comments-reg.-s-k-disclosure2021-02-01T20:00Znever https://www.findknowdo.com/news/08/31/2016/sec-announces-substantial-fee-rate-increase-fy-20172020-12-04T23:35Znever https://www.findknowdo.com/news/09/01/2016/treasury-releases-preliminary-data-u.s.-holdings-foreign-securities2024-04-12T21:27Znever https://www.findknowdo.com/news/09/01/2016/federal-register-sec-adopts-amendments-registration-and-reporting-requirements-investment-advisers2022-08-30T19:05Znever https://www.findknowdo.com/news/09/02/2016/bank-international-settlements-publishes-survey-fx-and-otc-trading2019-04-03T18:58Znever https://www.findknowdo.com/news/09/01/2016/nasd-incorporates-interpretive-material-insurance-related-securities-finra-rulebook2024-04-12T12:57Znever https://www.findknowdo.com/news/09/01/2016/ftc-permits-hart-scott-rodino-filings-dvd-format2024-04-03T20:16Znever https://www.findknowdo.com/news/09/01/2016/cftc-extends-deadline-swap-dealers-comply-collateral-segregation-requirement2024-04-06T17:43Znever https://www.findknowdo.com/news/09/01/2016/sec-issues-no-action-relief-after-review-amr-procedures2020-12-15T05:41Znever https://www.findknowdo.com/news/09/02/2016/sec-says-finra-and-msrb-pay-play-rules-are-substantially-equivalent-sec-pay-play-rules2021-02-01T19:48Znever https://www.findknowdo.com/news/09/02/2016/msrb-proposes-markup-disclosure-requirement-municipal-securities-transactions2024-04-12T00:21Znever https://www.findknowdo.com/news/09/02/2016/federal-register-sec-adopts-rule-requiring-swap-data-repositories-make-data-available-authorities2024-01-31T03:13Znever https://www.findknowdo.com/news/09/02/2016/cftc-meet-system-safeguard-testing-and-substituted-compliance-japanese-clearing2024-04-06T17:43Znever https://www.findknowdo.com/news/09/02/2016/cftc-settles-charges-against-firm-illegal-exchange-precious-metals-trading2024-04-06T17:43Znever https://www.findknowdo.com/news/09/02/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/06/2016/federal-register-cftc-extends-comment-period-proposed-amendments-cpo-annual-report-requirements2024-04-06T17:43Znever https://www.findknowdo.com/news/09/06/2016/federal-register-sec-requests-comments-finra-proposal-expand-chairperson-eligibility-arbitration2024-04-12T12:57Znever https://www.findknowdo.com/news/09/06/2016/msrb-launches-continuing-education-program-municipal-markets2024-04-12T00:21Znever https://www.findknowdo.com/news/09/06/2016/cftc-and-mexican-financial-regulators-sign-mou2024-04-06T17:43Znever https://www.findknowdo.com/news/09/06/2016/alternative-adviser-associations-urge-sec-issue-guidance-rather-rules-business-continuity-plans2021-01-24T01:54Znever https://www.findknowdo.com/news/09/07/2016/trade-associations-want-be-guided-not-directed2021-01-25T23:09Znever https://www.findknowdo.com/news/09/07/2016/cme-recognized-central-counterparty-hong-kong-and-mexico2024-01-31T02:35Znever https://www.findknowdo.com/news/09/07/2016/cftc-charges-employee-proprietary-trading-firm-falsely-reporting-futures-transactions2024-04-06T17:43Znever https://www.findknowdo.com/news/09/07/2016/finra-fill-vacancies-district-committees-and-small-firm-advisory-board2024-04-12T12:57Znever https://www.findknowdo.com/news/09/07/2016/sec-names-new-deputy-associate-director-division-investment-management-rulemaking-office2020-12-15T03:34Znever https://www.findknowdo.com/news/09/07/2016/fincen-updates-list-jurisdictions-aml/cft-deficiencies2024-04-02T18:52Znever https://www.findknowdo.com/news/09/08/2016/federal-register-sec-approves-finra-proposal-create-academic-corporate-bond-trace-data-product2024-04-12T12:57Znever https://www.findknowdo.com/news/09/08/2016/nfa-proposes-requiring-cpos-and-ctas-report-financial-condition2024-04-05T19:36Znever https://www.findknowdo.com/news/09/08/2016/energy-metro-desk-editor-says-trader-violation-looks-a-spoof2024-04-05T18:43Znever https://www.findknowdo.com/news/09/08/2016/cftc-approves-substituted-compliance-japans-uncleared-swap-margin-requirements2024-04-06T17:43Znever https://www.findknowdo.com/news/09/08/2016/isda-ceo-urges-more-realistic-timeline-swap-margin-requirement-implementation2021-01-15T00:21Znever https://www.findknowdo.com/news/09/09/2016/sec-settles-charges-against-two-investment-advisory-firms-compliance-failures-wrap-fee-programs2022-12-31T12:03Znever https://www.findknowdo.com/news/09/08/2016/federal-agencies-seek-additional-limits-permissible-banking-activities2024-04-12T21:40Znever https://www.findknowdo.com/news/09/09/2016/cftc-approves-system-safeguards-testing-requirements-dcos-%28-delta-strategy-group-summary%292024-04-06T17:43Znever https://www.findknowdo.com/news/09/09/2016/financial-trade-associations-ask-congress-consider-costs-restricting-permissible-banking-activities2021-01-13T20:54Znever https://www.findknowdo.com/news/09/09/2016/cfpb-imposes-largest-ever-penalty-against-bank-opening-unauthorized-accounts2024-04-12T17:11Znever https://www.findknowdo.com/news/09/12/2016/sec-commissioner-piwowar-outlines-regulatory-challenges-fixed-income-markets2024-01-31T19:31Znever https://www.findknowdo.com/news/09/09/2016/house-approves-bill-allow-small-companies-use-shelf-registration2020-12-04T23:35Znever https://www.findknowdo.com/news/09/09/2016/energy-trade-groups-urge-congress-extend-renewable-energy-tax-incentives2019-04-03T18:58Znever https://www.findknowdo.com/news/09/09/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/12/2016/federal-register-sec-proposes-requiring-hyperlinks-and-html-formatting-all-registration-filings2020-12-04T23:35Znever https://www.findknowdo.com/news/09/12/2016/nasaa-says-broker-dealers-should-treat-senior-clients-better2024-02-03T22:51Znever https://www.findknowdo.com/news/09/12/2016/isda-report-concludes-single-name-cds-market-has-positive-impact2021-01-15T00:21Znever https://www.findknowdo.com/news/09/13/2016/federal-register-sec-requests-comments-msrb-proposed-markup-disclosure-requirement-municipal-securities-transactions2024-04-12T00:21Znever https://www.findknowdo.com/news/09/13/2016/federal-register-occ-requests-comments-proposal-establish-receiverships-uninsured-banks2024-04-12T21:40Znever https://www.findknowdo.com/news/09/13/2016/federal-reserve-approves-policy-statement-countercyclical-capital-buffer2024-04-12T21:27Znever https://www.findknowdo.com/news/09/13/2016/cftc-chair-massad-will-recommend-rto-iso-exemption-private-right-action-under-cea2024-04-06T17:43Znever https://www.findknowdo.com/news/09/13/2016/u.s.-chamber-commerce-offers-pro-growth-agenda-new-administration2020-12-15T02:50Znever https://www.findknowdo.com/news/09/13/2016/nasaa-reports-enforcement-actions-20152024-02-03T22:51Znever https://www.findknowdo.com/news/09/13/2016/financial-services-committee-approves-financial-choice-act-%28-delta-strategy-group-summary%292020-12-24T04:54Znever https://www.findknowdo.com/news/09/14/2016/finra-fines-firm-supervisory-failures-regarding-customer-brokerage-accounts2024-04-12T12:57Znever https://www.findknowdo.com/news/09/14/2016/sec-approves-rtrs-academic-transaction-data-product-%28msrb-regulatory-notice-16-22%292024-04-12T00:21Znever https://www.findknowdo.com/news/09/14/2016/occ-identifies-priorities-fy-2017-bank-supervision-operating-plan2024-04-12T21:40Znever https://www.findknowdo.com/news/09/14/2016/bcbs-monitoring-report-gives-big-banks-passing-grades2024-02-05T17:30Znever https://www.findknowdo.com/news/09/15/2016/sec-chair-white-outlines-initiatives-improve-equity-market-structure2022-05-08T04:14Znever https://www.findknowdo.com/news/09/14/2016/sec-enforcement-director-describes-transformative-impact-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/09/15/2016/federal-register-cftc-adopts-substituted-compliance-japans-uncleared-swap-margin-requirements2024-04-06T17:43Znever https://www.findknowdo.com/news/09/15/2016/federal-register-sec-requests-comments-finra-proposal-modify-certain-data-collection-requirements-under-tick-size-pilot2024-04-12T12:57Znever https://www.findknowdo.com/news/09/15/2016/chair-massad-recommends-one-year-delay-swap-de-minimis-threshold2024-04-06T17:43Znever https://www.findknowdo.com/news/09/15/2016/cftc-grants-no-action-relief-sef-registration-australian-multilateral-trading-facility2024-04-06T17:43Znever https://www.findknowdo.com/news/09/15/2016/senator-warren-urges-inspector-general-review-dojs-failed-response-financial-crisis2020-09-28T15:12Znever https://www.findknowdo.com/news/09/15/2016/sec-grants-exemptive-relief-permitting-exchanges-phase-rollout-tick-size-pilot2024-01-31T19:31Znever https://www.findknowdo.com/news/09/19/2016/sec-reports-city-miami-liable-securities-violations2024-02-05T01:50Znever https://www.findknowdo.com/news/09/15/2016/isda-calls-standardization-derivatives-market-data-documentation-and-processing2022-11-19T16:30Znever https://www.findknowdo.com/news/09/16/2016/federal-register-federal-reserve-adopts-policy-statement-countercyclical-capital-buffer2024-04-12T21:27Znever https://www.findknowdo.com/news/09/16/2016/senators-question-cftc-commissioner-candidates-%28-delta-strategy-group-summary%292021-06-22T21:21Znever https://www.findknowdo.com/news/09/16/2016/cftc-divisions-extend-no-action-relief-rto-again2024-04-06T17:43Znever https://www.findknowdo.com/news/09/16/2016/sec-commissioner-piwowar-encourages-further-public-comment-regulation-nms2022-12-31T13:33Znever https://www.findknowdo.com/news/09/16/2016/trade-associations-urge-treasury-ensure-certain-conditions-optimal-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/09/16/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/16/2016/financial-services-committee-investigate-alleged-false-account-openings2020-12-15T06:02Znever https://www.findknowdo.com/news/09/16/2016/streetwise-professor-says-swap-dealer-threshold-has-de-minimis-logic2024-02-04T04:28Znever https://www.findknowdo.com/news/09/16/2016/comptroller-curry-asserts-post-crisis-financial-system-stronger2024-04-12T21:40Znever https://www.findknowdo.com/news/09/19/2016/federal-register-sec-approves-msrb-rtrs-academic-transaction-data-product2024-04-12T00:21Znever https://www.findknowdo.com/news/09/19/2016/federal-register-sec-approves-finra-retail-communications-proposal2024-04-12T12:57Znever https://www.findknowdo.com/news/09/19/2016/federal-register-cftc-approves-system-safeguards-testing-requirements-dcos2024-04-06T17:43Znever https://www.findknowdo.com/news/09/22/2016/former-cftc-commissioner-criticizes-changing-cftc-standards-market-manipulation-and-spoofing-cases2024-02-04T04:28Znever https://www.findknowdo.com/news/09/19/2016/sec-settles-charges-accounting-firm-violations-auditor-independence-requirements2022-12-03T14:10Znever https://www.findknowdo.com/news/09/19/2016/finra-announces-new-board-governors2024-04-12T12:57Znever https://www.findknowdo.com/news/09/20/2016/federal-register-sec-requests-comments-annual-list-rules-review-pursuant-regulatory-flexibility-act2020-12-23T18:10Znever https://www.findknowdo.com/news/09/20/2016/federal-register-sec-approves-finra-amendments-code-arbitration-procedures2024-04-12T12:57Znever https://www.findknowdo.com/news/09/20/2016/cftc-settles-charges-banks-executed-fictitious-and-noncompetitive-block-trades2024-04-06T17:43Znever https://www.findknowdo.com/news/09/20/2016/congress-investigates-use-solar-tax-incentives2019-04-03T18:58Znever https://www.findknowdo.com/news/09/20/2016/cme-amends-regulatory-guidance-concerning-exchange-related-positions-transactions2024-04-05T18:43Znever https://www.findknowdo.com/news/09/20/2016/sec-announces-4-million-whistleblower-award2024-01-30T02:46Znever https://www.findknowdo.com/news/09/20/2016/msrb-completes-core-regulatory-framework-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/09/20/2016/senate-banking-committee-grills-bank-ceo-and-evaluates-regulatory-response-opening-unauthorized-accounts2024-04-12T21:40Znever https://www.findknowdo.com/news/09/21/2016/federal-register-cftc-renews-agricultural-advisory-committee2024-04-06T17:43Znever https://www.findknowdo.com/news/09/21/2016/federal-register-sec-requests-comments-finra-proposal-incorporate-nasd-interpretive-material-insurance-related-securities2024-04-12T12:57Znever https://www.findknowdo.com/news/09/21/2016/sec-exempts-etf-certain-distribution-requirements2021-01-24T03:16Znever https://www.findknowdo.com/news/09/21/2016/cftc-charges-firm-engaging-illegal-exchange-precious-metals-transactions2024-04-06T17:43Znever https://www.findknowdo.com/news/09/21/2016/cftc-orders-fcm-pay-1.5-million-penalty-supervisory-and-risk-management-failures2024-04-06T17:43Znever https://www.findknowdo.com/news/09/21/2016/sec-charges-hedge-fund-manager-insider-trading-and-reporting-violations2020-12-15T05:07Znever https://www.findknowdo.com/news/09/21/2016/nfa-urges-cftc-extend-proposed-cpo-annual-report-relief-quarterly-report-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/09/21/2016/cftc-public-roundtable-examine-cpmi-iosco-guidance-ccp-resilience-and-recovery2024-04-06T17:43Znever https://www.findknowdo.com/news/09/21/2016/cftc-commissioner-giancarlo-urges-u.s.-regulators-embrace-digital-age2024-04-06T17:43Znever https://www.findknowdo.com/news/09/21/2016/sec-accountant-addresses-recent-developments-financial-reporting2022-12-03T14:10Znever https://www.findknowdo.com/news/09/21/2016/sec-chair-white-describes-challenges-global-securities-regulation2020-12-15T04:38Znever https://www.findknowdo.com/news/09/22/2016/cftc-settles-charges-bank-recordkeeping-violations2024-04-06T17:43Znever https://www.findknowdo.com/news/09/22/2016/sec-enforcement-director-describes-auditor-responsibilities-current-regulatory-landscape2022-08-30T19:08Znever https://www.findknowdo.com/news/09/23/2016/house-subcommittee-examines-recent-governance-and-disclosure-requirements-%28-delta-strategy-group-summary%292021-06-22T21:12Znever https://www.findknowdo.com/news/09/22/2016/sifma-amg-and-ici-react-fsb-asset-management-risk-proposal2021-06-18T15:16Znever https://www.findknowdo.com/news/09/22/2016/federal-register-finra-releases-firm-element-advisory-online-format2024-04-12T12:57Znever https://www.findknowdo.com/news/09/23/2016/financial-services-subcommittee-reviews-proposed-standard-setting-rules-%28-delta-strategy-group-summary%292024-02-04T16:32Znever https://www.findknowdo.com/news/09/23/2016/fed-discussion-paper-analyzes-cross-border-effects-international-banking-regulation2024-04-12T21:27Znever https://www.findknowdo.com/news/09/23/2016/treasury-secretary-lew-defends-fsoc-house-financial-services-committee-%28-delta-strategy-group-summary%292024-04-02T19:55Znever https://www.findknowdo.com/news/09/23/2016/frb-proposes-enhanced-risk-based-capital-requirements-firms-engaged-physical-commodity-activities2024-04-12T21:27Znever https://www.findknowdo.com/news/09/23/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/23/2016/sec-division-grants-multinational-insurance-company-no-action-relief-ineligible-issuer-status2020-12-15T05:06Znever https://www.findknowdo.com/news/09/23/2016/associations-offer-additional-recommendations-proposed-sec-order-handling-disclosure-requirements2022-08-30T19:04Znever https://www.findknowdo.com/news/09/27/2016/cftc-commissioner-bowen-urges-international-regulators-adopt-similar-rules2024-04-06T17:42Znever https://www.findknowdo.com/news/09/26/2016/sec-settles-charges-firm-market-access-rule-violations2020-12-15T05:14Znever https://www.findknowdo.com/news/09/26/2016/federal-reserve-board-governor-tarullo-describes-potential-changes-stress-testing-and-ccar-programs2024-04-12T21:27Znever https://www.findknowdo.com/news/09/26/2016/federal-reserve-board-proposes-simplify-ccar-requirements-certain-bank-holding-companies2024-04-12T21:27Znever https://www.findknowdo.com/news/09/26/2016/finra-announces-effective-date-code-arbitration-amendments-%28finra-reg.-notice-16-36%292024-04-12T12:57Znever https://www.findknowdo.com/news/09/30/2016/msrb-requests-comments-draft-provisions-concerning-minimum-denominations2024-04-12T00:21Znever https://www.findknowdo.com/news/09/27/2016/cftc-chair-massad-reports-clearing-cybersecurity-and-swaps2024-04-06T17:42Znever https://www.findknowdo.com/news/09/27/2016/nfa-makes-minor-change-cpo-form-pqr-and-reminds-firms-late-fees2024-04-05T19:36Znever https://www.findknowdo.com/news/09/27/2016/sec-host-public-forum-fintech-innovation2020-12-15T06:57Znever https://www.findknowdo.com/news/09/28/2016/federal-register-cftc-renews-global-markets-advisory-committee-mandate2024-04-06T17:42Znever https://www.findknowdo.com/news/09/28/2016/federal-register-sec-finds-finra-and-msrb-pay-play-rules-be-consistent-sec-objectives2021-02-01T19:48Znever https://www.findknowdo.com/news/09/28/2016/fed-chair-testifies-post-crisis-regulation-and-supervision-banking-institutions2024-04-12T21:27Znever https://www.findknowdo.com/news/09/28/2016/sec-proposes-shortening-standard-settlement-cycles-securities-transactions2020-12-15T06:55Znever https://www.findknowdo.com/news/09/28/2016/sec-adopts-enhanced-regulatory-framework-securities-clearing-agencies2024-01-31T02:35Znever https://www.findknowdo.com/news/09/28/2016/cftc-imposes-mandatory-clearing-certain-interest-rate-swaps2024-04-06T17:42Znever https://www.findknowdo.com/news/09/29/2016/federal-register-sec-extends-comment-period-proposed-amendments-disclosure-requirements2022-12-03T14:10Znever https://www.findknowdo.com/news/09/29/2016/federal-register-sec-approves-finra-proposal-expand-dissemination-cmo-trade-information2024-04-12T12:57Znever https://www.findknowdo.com/news/09/29/2016/federal-register-occ-adopts-final-recovery-plan-guidelines-large-banks2024-04-12T21:40Znever https://www.findknowdo.com/news/09/30/2016/finra-proposes-modify-fees-and-transaction-credits-finra/nyse-trade-reporting-facility2024-04-12T12:57Znever https://www.findknowdo.com/news/09/29/2016/sec-advisory-committee-examine-disclosure-board-diversity-capital-raising-and-equity-market-structure-initiatives2022-08-30T19:08Znever https://www.findknowdo.com/news/09/29/2016/sec-names-whistleblower-office-chief2024-01-30T02:46Znever https://www.findknowdo.com/news/09/29/2016/cftc-charges-introducing-broker-recordkeeping-and-supervisory-failures2024-04-06T17:42Znever https://www.findknowdo.com/news/09/29/2016/cftc-charges-firm-executing-wash-trades-and-related-supervisory-failures2024-04-06T17:42Znever https://www.findknowdo.com/news/09/29/2016/house-financial-services-subcommittee-hears-criticism-financial-stability-boards-regulatory-approach-%28-delta-strategy-group-summary%292020-12-15T04:54Znever https://www.findknowdo.com/news/09/30/2016/msrb-requests-comment-proposal-establish-continuing-education-requirements-associated-persons-%28msrb-reg.-notice-16-24%292024-04-12T00:21Znever https://www.findknowdo.com/news/09/30/2016/federal-register-sec-adopts-updates-edgar-filer-manual2020-12-03T05:07Znever https://www.findknowdo.com/news/09/30/2016/federal-register-federal-reserve-board-proposes-simplify-ccar-requirements-certain-bank-holding-companies2024-04-12T21:27Znever https://www.findknowdo.com/news/09/30/2016/energy-company-settles-charges-regarding-acting-unregistered-cta2024-04-06T17:42Znever https://www.findknowdo.com/news/09/30/2016/sec-office-investor-education-and-advocacy-provides-microcap-stock-basics2021-06-18T20:21Znever https://www.findknowdo.com/news/09/30/2016/casino-gaming-company-settles-whistleblower-retaliation-charges2024-01-30T02:46Znever https://www.findknowdo.com/news/09/30/2016/federal-register-frb-requests-comment-proposal-enhance-risk-based-capital-requirements-firms-engaged-physical-commodity-activities2024-04-12T21:27Znever https://www.findknowdo.com/news/09/30/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/03/2016/district-court-rejects-cftcs-attempted-manipulation-charge-and-much-its-experts-testimony2021-01-16T00:19Znever https://www.findknowdo.com/news/10/03/2016/finra-proposes-amend-tick-size-pilot-trade-exceptions2024-04-12T12:57Znever https://www.findknowdo.com/news/10/03/2016/sec-msrb-and-finra-open-registration-compliance-outreach-program-municipal-advisors2024-04-12T12:57Znever https://www.findknowdo.com/news/10/03/2016/finra-publish-monthly-data-block-sized-trades-alternative-trading-systems2024-04-12T12:57Znever https://www.findknowdo.com/news/10/03/2016/merged-asset-management-firm-may-rely-pre-merger-relief2020-12-15T05:56Znever https://www.findknowdo.com/news/10/03/2016/sec-launches-tick-size-pilot-program2020-12-15T06:07Znever https://www.findknowdo.com/news/10/03/2016/sec-division-grants-40-act-registration-relief-renewable-energy-subsidiaries2021-01-24T01:40Znever https://www.findknowdo.com/news/10/04/2016/fed-economists-consider-10-billion-threshold-imposed-dodd-frank2024-04-12T21:27Znever https://www.findknowdo.com/news/10/04/2016/federal-register-sec-extends-review-finra-proposal-additional-disclosure-fixed-income-securities-transactions2024-04-12T12:57Znever https://www.findknowdo.com/news/10/04/2016/european-commission-adopts-final-rules-mitigating-risk-non-cleared-otc-derivatives-transactions2024-01-31T02:34Znever https://www.findknowdo.com/news/10/05/2016/sec-charges-investment-adviser-cherry-picking-trades-and-misleading-clients2020-12-15T05:45Znever https://www.findknowdo.com/news/10/04/2016/iosco-examines-corporate-governance-regulation2022-08-30T19:05Znever https://www.findknowdo.com/news/10/05/2016/federal-register-sec-requests-comments-proposal-shorten-standard-settlement-cycles-securities-transactions2020-12-15T05:11Znever https://www.findknowdo.com/news/10/05/2016/nfa-sanctions-introducing-broker2024-04-05T19:36Znever https://www.findknowdo.com/news/10/05/2016/banking-agencies-update-living-wills-eight-systemically-important-firms2024-04-12T21:27Znever https://www.findknowdo.com/news/10/05/2016/u.s.-and-eu-officials-continue-discussions-cross-border-resolution-planning2024-04-12T21:40Znever https://www.findknowdo.com/news/10/05/2016/bank-settles-sec-charge-misrepresentation-regarding-wealth-management-performance-metric2022-08-30T19:04Znever https://www.findknowdo.com/news/10/05/2016/occ-provides-guidance-periodic-risk-evaluation-foreign-correspondent-accounts2024-04-12T21:40Znever https://www.findknowdo.com/news/10/06/2016/cfpb-adopts-final-rule-boost-consumer-protections-prepaid-accounts2024-04-12T17:11Znever https://www.findknowdo.com/news/10/06/2016/gao-recommends-sec-formalize-internal-supervisory-control-compliance2024-01-30T19:23Znever https://www.findknowdo.com/news/10/06/2016/ici-board-elects-new-chair-and-slate-governors2021-06-22T21:14Znever https://www.findknowdo.com/news/10/06/2016/sec-names-office-analytics-and-research-associate-director2020-12-23T23:22Znever https://www.findknowdo.com/news/10/06/2016/streetwise-professor-examines-fundamental-tension-underlying-ccp-resolution-authority2024-02-04T04:28Znever https://www.findknowdo.com/news/10/06/2016/sec-advisory-committee-reviews-reg-s-k-disclosure-corporate-board-diversity-and-capital-raising-small-companies-%28-delta-strategy-group-summary%292020-12-15T05:42Znever https://www.findknowdo.com/news/10/06/2016/premerger-notification-office-revises-leveraged-buyout-guidance2024-04-03T20:16Znever https://www.findknowdo.com/news/10/06/2016/cftc-signs-mou-uk-financial-conduct-authority2024-04-06T17:42Znever https://www.findknowdo.com/news/10/07/2016/federal-register-sec-requests-comments-finra-proposal-amend-tick-size-pilot-trade-exceptions2024-04-12T12:57Znever https://www.findknowdo.com/news/10/07/2016/stakeholders-debate-cpmi-iosco-guidance-ccp-resilience-and-recovery-%28-delta-strategy-group-summary%292024-04-06T17:42Znever https://www.findknowdo.com/news/10/07/2016/sec-extends-no-action-relief-relating-custody-rule-requirements2022-01-02T16:59Znever https://www.findknowdo.com/news/10/07/2016/fdic-notifies-banks-upcoming-call-report-deadline2024-04-12T19:06Znever https://www.findknowdo.com/news/10/07/2016/cftc-extends-no-action-relief-certain-block-trade-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/10/07/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/07/2016/finra-modifies-trade-match-and-trade-acceptance-clearing-submission-requirements2024-04-12T12:57Znever https://www.findknowdo.com/news/10/11/2016/cftc-proposes-rules-governing-cross-border-application-swap-regulations2024-04-06T17:42Znever https://www.findknowdo.com/news/10/11/2016/cftc-commissioner-giancarlo-urges-regulators-analyze-post-dodd-frank-flash-crashes2024-04-06T17:42Znever https://www.findknowdo.com/news/10/11/2016/sec-files-868-enforcement-actions-fiscal-year-20162020-12-15T06:43Znever https://www.findknowdo.com/news/10/11/2016/d.c.-circuit-reins-executive-powers-cfpb2022-11-16T01:06Znever https://www.findknowdo.com/news/10/12/2016/msrb-requests-comments-strategic-priorities-%28msrb-reg.-notice-16-25%292024-04-12T00:21Znever https://www.findknowdo.com/news/10/12/2016/federal-register-sec-requests-comment-finra-proposal-modify-fees-and-transaction-credits-finra/nyse-trade-reporting-facility2024-04-12T12:57Znever https://www.findknowdo.com/news/10/12/2016/economists-consider-role-financial-reporting-corporate-governance2024-04-12T21:27Znever https://www.findknowdo.com/news/10/12/2016/risk-desk-editor-predicts-busy-autumn-cftc2024-02-04T04:28Znever https://www.findknowdo.com/news/10/13/2016/federal-register-sec-adopts-standards-covered-clearing-agencies2024-01-31T02:34Znever https://www.findknowdo.com/news/10/13/2016/federal-register-sec-approves-plan-allocating-regulatory-responsibilities-between-finra-and-bats-exchanges2024-01-31T19:31Znever https://www.findknowdo.com/news/10/13/2016/investment-bank-pays-fine-failing-safeguard-research-information2020-12-15T06:29Znever https://www.findknowdo.com/news/10/13/2016/sec-adopts-final-rules-fund-reporting-liquidity-risk-management-programs-and-swing-pricing-%28-delta-strategy-group-summary%292022-08-30T19:08Znever https://www.findknowdo.com/news/10/13/2016/cftc-sets-phase-termination-date-swap-dealer-registration-de-minimis-exception2024-04-06T17:42Znever https://www.findknowdo.com/news/10/13/2016/cftc-issues-results-rule-enforcement-review-nymex-and-comex2024-04-06T17:42Znever https://www.findknowdo.com/news/10/14/2016/federal-register-cftc-imposes-mandatory-clearing-certain-interest-rate-swaps2024-04-06T17:42Znever https://www.findknowdo.com/news/10/14/2016/u.s.-treasury-finalizes-earnings-stripping-regulations2024-04-02T19:55Znever https://www.findknowdo.com/news/10/14/2016/hedge-fund-advisory-firm-settles-sec-charge-failing-prevent-insider-trading2020-12-15T06:04Znever https://www.findknowdo.com/news/10/14/2016/senator-urges-president-replace-sec-chair2022-08-30T19:10Znever https://www.findknowdo.com/news/10/14/2016/streetwise-professor-says-blockchain-only-reinventing-wheel2024-02-04T04:28Znever https://www.findknowdo.com/news/10/14/2016/sec-director-describes-enforcement-activities-public-finance-market2024-02-05T01:50Znever https://www.findknowdo.com/news/10/14/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/17/2016/federal-register-fdic-adopts-revisions-regulatory-capital-rules-and-liquidity-coverage-ratio2024-04-12T19:06Znever https://www.findknowdo.com/news/10/17/2016/sec-office-investor-education-publishes-bulletin-microcap-stock-basics2021-06-18T20:19Znever https://www.findknowdo.com/news/10/17/2016/company-settles-sec-charge-failing-register-fantasy-sports-stocks-mobile-phone-game2020-12-15T03:45Znever https://www.findknowdo.com/news/10/17/2016/finra-announces-effective-dates-capital-acquisition-broker-rules2024-04-12T12:56Znever https://www.findknowdo.com/news/10/17/2016/sec-director-reports-progress-toward-fullfilling-ocie-four-pillar-mission2022-08-30T19:08Znever https://www.findknowdo.com/news/10/18/2016/federal-register-cftc-sets-phase-termination-date-swap-dealer-registration-de-minimis-exception2024-04-06T17:42Znever https://www.findknowdo.com/news/10/18/2016/federal-register-cftc-requests-comments-proposed-rules-governing-cross-border-application-swap-regulations2024-04-06T17:42Znever https://www.findknowdo.com/news/10/18/2016/finra-provides-effective-date-expanded-dissemination-cmo-trade-information-%28finra-reg.-notice-16-38%292024-04-12T12:56Znever https://www.findknowdo.com/news/10/18/2016/occ-publishes-collection-essays-regulatory-banking-history2024-04-12T21:40Znever https://www.findknowdo.com/news/10/18/2016/accounting-firm-pay-over-11.8-million-settle-sec-audit-failure-charges2022-12-03T14:10Znever https://www.findknowdo.com/news/10/18/2016/firm-settles-finra-charges-it-violated-trade-reporting-and-related-supervisory-requirements2024-04-12T12:56Znever https://www.findknowdo.com/news/10/18/2016/isda-analyzes-key-trends-clearing2024-01-31T02:34Znever https://www.findknowdo.com/news/10/18/2016/cftc-finalizes-rto/iso-exemption-and-shields-electric-utilities-private-lawsuits-under-cea2024-04-06T17:42Znever https://www.findknowdo.com/news/10/19/2016/federal-register-cftc-renews-technology-advisory-committee2024-04-06T17:42Znever https://www.findknowdo.com/news/10/19/2016/finra-announces-implementation-schedule-expanded-application-trace-reporting-requirements-%28finra-reg.-notice-16-39%292024-04-12T12:56Znever https://www.findknowdo.com/news/10/19/2016/banking-agencies-propose-enhanced-cyber-risk-management-standards2024-04-12T21:40Znever https://www.findknowdo.com/news/10/20/2016/finra-proposes-amendment-protect-seniors-financial-exploitation2024-04-12T12:56Znever https://www.findknowdo.com/news/10/19/2016/cftc-reconciles-no-action-relief-sec-amendments-money-market-fund-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/10/19/2016/chair-massad-updates-cftc-priorities2024-04-06T17:42Znever https://www.findknowdo.com/news/10/19/2016/sec-chief-staff-anticipates-future-challenges-compliance-professionals2021-01-24T04:29Znever https://www.findknowdo.com/news/10/19/2016/federal-register-cfpb-adopts-final-amendments-2013-mortgage-rules2024-04-12T17:10Znever https://www.findknowdo.com/news/10/19/2016/israeli-bank-settles-charges-conducting-unregistered-u.s.-cross-border-business2022-11-20T00:16Znever https://www.findknowdo.com/news/10/20/2016/msrb-directors-discuss-corporate-and-governance-issues-upcoming-meeting2024-04-12T00:21Znever https://www.findknowdo.com/news/10/20/2016/finra-urges-member-firms-vote-district-committee-elections2024-04-12T12:56Znever https://www.findknowdo.com/news/10/20/2016/cpmi-and-iosco-request-comments-otc-derivatives-transactions-data-elements2021-01-16T19:11Znever https://www.findknowdo.com/news/10/21/2016/bureau-economic-analysis-implement-changes-direct-investment-surveys2021-01-13T17:57Znever https://www.findknowdo.com/news/10/20/2016/ny-fed-president/ceo-calls-cultural-reform-financial-services-industry2024-04-12T21:27Znever https://www.findknowdo.com/news/10/20/2016/house-financial-services-chair-calls-cfpb-comply-executive-orders2021-06-18T18:08Znever https://www.findknowdo.com/news/10/21/2016/sec-issues-investor-bulletin-microcap-stocks2020-12-16T21:53Znever https://www.findknowdo.com/news/10/21/2016/fed-governor-examines-post-crisis-financial-regulation2024-04-12T21:27Znever https://www.findknowdo.com/news/10/21/2016/sec-division-grants-etf-no-action-relief-tender-offer-requirements2021-01-24T03:16Znever https://www.findknowdo.com/news/10/21/2016/sec-commissioner-champions-high-quality-economic-analysis-essential-part-regulatory-processes2024-01-31T19:31Znever https://www.findknowdo.com/news/10/21/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/25/2016/federal-register-finra-expands-application-trace-reporting-rules2024-04-12T12:56Znever https://www.findknowdo.com/news/10/24/2016/federal-register-cftc-finalizes-rto/iso-exemption-and-shields-electric-utilities-private-lawsuits2024-04-06T17:42Znever https://www.findknowdo.com/news/10/24/2016/nasaa-waives-investor-advisor-registration-depository-system-fees2024-02-03T22:51Znever https://www.findknowdo.com/news/10/24/2016/federal-reserve-board-maintains-current-countercyclical-capital-buffer-level2024-04-12T21:27Znever https://www.findknowdo.com/news/10/24/2016/regulators-examine-current-developments-u.s.-treasury-markets-%28-delta-strategy-group-summary%292024-04-12T21:27Znever https://www.findknowdo.com/news/10/25/2016/finra-announces-effective-date-pay-play-rules2024-04-12T12:56Znever https://www.findknowdo.com/news/10/25/2016/sec-officials-describe-potential-data-analytics-improve-disclosure-and-research2022-08-30T19:08Znever https://www.findknowdo.com/news/10/25/2016/comptroller-calls-increased-interagency-collaboration2024-04-12T21:40Znever https://www.findknowdo.com/news/10/25/2016/ice-futures-u.s.-and-cme-clarify-block-trade-hedging-guidance2024-04-05T18:43Znever https://www.findknowdo.com/news/11/03/2016/investment-company-institute-hosts-closed-end-fund-conference2021-06-22T21:06Znever https://www.findknowdo.com/news/10/26/2016/federal-register-fdic-requests-comments-proposal-restrict-certain-qualified-financial-contracts2024-04-12T19:06Znever https://www.findknowdo.com/news/10/26/2016/federal-register-banking-agencies-propose-enhanced-cyber-risk-management-standards2024-04-12T21:40Znever https://www.findknowdo.com/news/10/26/2016/finra-proposes-fee-academic-corporate-bond-trace-data-product2024-04-12T12:56Znever https://www.findknowdo.com/news/10/27/2016/fincen-details-bank-secrecy-act-reporting-obligations-cyber-events-and-cyber-related-crime2024-04-02T18:52Znever https://www.findknowdo.com/news/10/26/2016/sec-expands-intrastate-offering-exemption-proposes-amending-proxy-rules-%28-delta-strategy-group-summary%292021-01-06T20:49Znever https://www.findknowdo.com/news/10/27/2016/finra-sets-effective-date-amendments-rules-governing-communications-public2024-04-12T12:56Znever https://www.findknowdo.com/news/10/27/2016/occ-establish-office-innovation2024-04-12T21:40Znever https://www.findknowdo.com/news/10/27/2016/risk-desk-editor-examines-strict-liability-rules-cme2024-02-04T04:28Znever https://www.findknowdo.com/news/10/27/2016/sec-government-business-forum-examine-small-business-capital-formation2021-06-18T18:41Znever https://www.findknowdo.com/news/10/28/2016/sec-chair-mary-jo-white-reviews-sec-and-pcaob-cooperative-initiatives2022-12-03T14:10Znever https://www.findknowdo.com/news/10/28/2016/iosco-reports-implementation-post-crisis-recommendations-securities-markets2022-08-30T19:05Znever https://www.findknowdo.com/news/10/28/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/28/2016/creep-it-real-cabinet-halloween-playlist2024-02-04T04:11Znever https://www.findknowdo.com/news/10/28/2016/occ-notifies-congress-unauthorized-removal-information2024-04-12T21:40Znever https://www.findknowdo.com/news/10/31/2016/federal-register-fsoc-adopts-final-rules-qfc-recordkeeping2024-04-02T19:55Znever https://www.findknowdo.com/news/10/31/2016/cftc-examine-new-proposal-access-high-frequency-trading-computer-code2024-04-06T17:42Znever https://www.findknowdo.com/news/10/31/2016/cftc-permits-five-fbots-trade-direct-access2024-04-06T17:42Znever https://www.findknowdo.com/news/10/31/2016/msrb-sec-and-finra-discuss-municipal-securities-oversight-and-cross-market-initiatives2024-04-12T00:21Znever https://www.findknowdo.com/news/10/31/2016/n.y.-audit-firm-settles-sec-charges-issuing-fraudulent-reports2024-02-05T01:50Znever https://www.findknowdo.com/news/10/31/2016/sec-initiates-proceedings-against-engagement-partner-venture-fund-audit2022-12-03T14:10Znever https://www.findknowdo.com/news/11/01/2016/streetwise-professor-claims-brexit-horror-story-highlights-dangers-clearing-mandates2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/11/01/2016/finra-reminds-firms-deadlines-broker-dealer-and-investment-adviser-renewals2024-04-12T12:56Znever https://www.findknowdo.com/news/11/01/2016/sec-alerts-investors-scams-involving-fake-form-42019-04-03T18:58Znever https://www.findknowdo.com/news/11/01/2016/cftc-grants-fifth-extension-trade-execution-relief-package-transactions2024-04-06T17:42Znever https://www.findknowdo.com/news/11/01/2016/federal-register-fdic-requests-comments-proposal-remove-transferred-ots-regulations2024-04-12T19:06Znever https://www.findknowdo.com/news/11/02/2016/federal-register-cftc-committee-examine-central-counterparty-risk-management-initiatives2024-04-06T17:42Znever https://www.findknowdo.com/news/11/02/2016/sec-appoints-new-deputy-chief-accountant2022-12-03T14:10Znever https://www.findknowdo.com/news/11/02/2016/finra-fines-firms-failure-supervise-sales-variable-annuities2024-04-12T12:56Znever https://www.findknowdo.com/news/11/02/2016/isda-ceo-urges-firms-prepare-2017-variation-margin-requirements2021-01-15T00:20Znever https://www.findknowdo.com/news/11/02/2016/sec-explains-methodology-analyzing-comments-proposal-restrict-derivatives-use2021-10-23T02:02Znever https://www.findknowdo.com/news/11/02/2016/cftc-and-canadian-provincial-regulators-expand-cross-border-mou2024-04-06T17:42Znever https://www.findknowdo.com/news/11/03/2016/federal-register-sec-requests-comments-proposed-fee-academic-corporate-bond-trace-data-product2024-04-12T12:56Znever https://www.findknowdo.com/news/11/04/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/03/2016/comptroller-currency-describes-regulatory-approach-fintech-innovation2024-04-12T21:40Znever https://www.findknowdo.com/news/11/03/2016/sec-sets-agenda-upcoming-fintech-forum2022-07-02T22:31Znever https://www.findknowdo.com/news/11/04/2016/sec-delays-decision-proposed-nms-plan-consolidated-audit-trail2024-01-31T19:31Znever https://www.findknowdo.com/news/11/04/2016/cpo/cta-settles-nfa-charges-regarding-operation-offshore-pool-funds2024-04-05T19:36Znever https://www.findknowdo.com/news/11/04/2016/last-chance-think-it-over2019-04-03T18:58Znever https://www.findknowdo.com/news/11/07/2016/nfa-increases-minimum-security-deposit-forex-transactions-involving-british-pound2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/11/07/2016/federal-register-sec-requests-comments-finra-proposal-protect-seniors-financial-exploitation2024-04-12T12:56Znever https://www.findknowdo.com/news/11/07/2016/election-day2019-04-03T18:58Znever https://www.findknowdo.com/news/11/07/2016/iosco-requests-comment-report-analyzing-use-non-traditional-products-offered-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/11/08/2016/finra-proposes-delay-reporting-requirement-submission-ats-order-information2024-04-12T12:56Znever https://www.findknowdo.com/news/11/08/2016/fia-rejects-cftc-proposal-access-source-code2023-04-05T16:32Znever https://www.findknowdo.com/news/11/09/2016/ffiec-revises-consumer-compliance-rating-system2022-10-28T12:30Znever https://www.findknowdo.com/news/11/10/2016/federal-register-sec-requests-comments-amending-msrb-quorum-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/11/09/2016/sec-director-cites-trends-affecting-investment-products-offered-insurance-companies2022-08-30T19:08Znever https://www.findknowdo.com/news/11/09/2016/cabinet-keep-you-current-regulatory-developments2020-12-24T04:55Znever https://www.findknowdo.com/news/11/09/2016/ny-fed-issues-new-policy-counterparties-market-operations2020-12-15T06:42Znever https://www.findknowdo.com/news/11/10/2016/sec-issues-no-action-letter-sifma-net-capital-treatment-leases2020-12-15T06:49Znever https://www.findknowdo.com/news/11/10/2016/cftc-approves-amendments-cco-annual-reporting-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/11/10/2016/cftc-proposes-consent-order-resolve-price-manipulation-and-spoofing-case2024-04-06T17:42Znever https://www.findknowdo.com/news/11/10/2016/cftc-mrac-meeting-focus-central-counterparties2024-04-06T17:42Znever https://www.findknowdo.com/news/11/10/2016/msrb-announces-members-2017-investor-advisory-group2024-04-12T00:21Znever https://www.findknowdo.com/news/11/10/2016/finra-adds-new-member-board-governors2024-04-12T12:55Znever https://www.findknowdo.com/news/11/11/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/11/2016/msrb-identifies-potential-risks-retail-investors-municipal-securities-market2024-04-12T00:21Znever https://www.findknowdo.com/news/11/11/2016/ofr-paper-questions-whether-higher-capital-standards-reduce-bank-risks2022-07-27T19:43Znever https://www.findknowdo.com/news/11/11/2016/foreign-firm-settles-charges-misleading-investors-about-binary-securities-options2022-08-30T19:05Znever https://www.findknowdo.com/news/11/14/2016/federal-register-sec-requests-comments-proposal-amend-proxy-rules2020-12-15T06:48Znever https://www.findknowdo.com/news/11/14/2016/finra-reports-student-debt-study2024-04-12T12:55Znever https://www.findknowdo.com/news/11/14/2016/sec-awards-20-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/11/14/2016/cftc-grants-no-action-relief-timing-requirements-cco-annual-reports2024-04-06T17:42Znever https://www.findknowdo.com/news/11/14/2016/sec-leaders-debate-benefits-and-risks-fintech-innovation-securities-markets2020-12-15T06:59Znever https://www.findknowdo.com/news/11/14/2016/sec-chair-mary-jo-white-step-down2020-12-15T03:33Znever https://www.findknowdo.com/news/11/15/2016/fdic-adopts-rule-facilitate-payment-insured-deposits-large-banks-fail2024-04-12T19:05Znever https://www.findknowdo.com/news/11/15/2016/gao-recommends-improving-effectiveness-federal-reserve-system-stress-tests2024-04-12T21:40Znever https://www.findknowdo.com/news/11/15/2016/cftc-chair-massad-urges-new-administration-continue-derivatives-market-reforms2024-04-06T17:42Znever https://www.findknowdo.com/news/11/15/2016/sec-sets-agenda-35th-annual-government-business-forum-small-business-capital-formation2021-06-18T15:11Znever https://www.findknowdo.com/news/11/15/2016/sec-approves-national-market-system-plan-consolidated-audit-trail2024-01-31T19:31Znever https://www.findknowdo.com/news/11/16/2016/sec-chair-white-presses-agenda-next-year-%28-delta-strategy-group-summary%292020-12-27T20:20Znever https://www.findknowdo.com/news/11/16/2016/federal-register-cftc-approves-amendments-cco-annual-reporting-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/11/16/2016/finra-sets-effective-date-academic-corporate-bond-trace-data-product2024-04-12T12:55Znever https://www.findknowdo.com/news/11/16/2016/finra-proposes-prohibiting-certain-disruptive-quoting-and-trading-activity2024-04-12T12:55Znever https://www.findknowdo.com/news/11/16/2016/finra-proposes-modifying-website-data-publication-requirements-tick-size-pilot2024-04-12T12:55Znever https://www.findknowdo.com/news/11/16/2016/cftc-staff-reports-supervisory-stress-tests-clearinghouses-%28-delta-strategy-group-summary%292024-04-06T17:42Znever https://www.findknowdo.com/news/11/16/2016/cftc-issues-reminder-new-rules-ocr-filings2024-04-06T17:42Znever https://www.findknowdo.com/news/11/16/2016/minneapolis-fed-requests-comments-plan-end-too-big-fail2024-04-12T21:27Znever https://www.findknowdo.com/news/11/16/2016/cftc-obtains-consent-order-against-new-zealand-broker-unregistered-forex-trading2024-04-06T17:42Znever https://www.findknowdo.com/news/11/17/2016/federal-register-sec-approves-finra-proposal-amend-procedures-relating-motions-dismiss-arbitration2024-04-12T12:55Znever https://www.findknowdo.com/news/11/17/2016/academic-institutions-can-start-purchasing-rtrs-transaction-data-february-27-20172024-04-12T00:21Znever https://www.findknowdo.com/news/11/18/2016/firm-pay-more-264-million-settle-charges-fcpa-violations2024-04-12T21:27Znever https://www.findknowdo.com/news/11/17/2016/firm-settles-finra-case-involving-reporting-and-supervisory-failures2024-04-12T12:55Znever https://www.findknowdo.com/news/11/17/2016/house-republicans-warn-federal-agencies-not-finalize-pending-rules2020-12-03T17:28Znever https://www.findknowdo.com/news/11/17/2016/fsoc-briefed-libor-hedge-fund-activities-and-data-collection-%28-delta-strategy-group-summary%292022-07-27T18:55Znever https://www.findknowdo.com/news/11/17/2016/district-judge-issues-order-requiring-payment-penalties-and-disgorgement-spoofing-case2024-04-06T17:42Znever https://www.findknowdo.com/news/11/17/2016/sec-investor-advocate-defends-dodd-frank2024-01-31T14:59Znever https://www.findknowdo.com/news/11/17/2016/cftc-mrac-approves-ccp-risk-management-recommendations-%28-delta-strategy-group-summary%292024-04-06T17:42Znever https://www.findknowdo.com/news/11/18/2016/federal-register-sec-requests-comments-msrb-proposal-extend-customer-complaint-rules-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/11/18/2016/federal-register-sec-adopts-final-rule-investment-company-reporting2022-01-03T22:17Znever https://www.findknowdo.com/news/11/18/2016/federal-register-sec-adopts-final-rule-require-liquidity-risk-management-programs2022-08-30T19:05Znever https://www.findknowdo.com/news/11/18/2016/federal-register-sec-adopts-final-rules-investment-company-swing-pricing2021-01-24T01:48Znever https://www.findknowdo.com/news/11/18/2016/nfa-names-thomas-sexton-next-president-and-ceo2024-04-05T19:36Znever https://www.findknowdo.com/news/11/18/2016/risk-desk-editor-reviews-debate-over-cftc-supplemental-reg.-proposal2024-02-04T04:28Znever https://www.findknowdo.com/news/11/18/2016/sec-approves-enhanced-disclosures-retail-investors-fixed-income-securities2024-04-12T12:55Znever https://www.findknowdo.com/news/11/18/2016/frb-broadens-post-employment-restrictions-examiners2024-04-12T21:27Znever https://www.findknowdo.com/news/11/18/2016/sec-leadership-describe-rules-promote-small-business-capital-formation2020-12-15T06:56Znever https://www.findknowdo.com/news/11/18/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/21/2016/cftc-approves-amended-rules-cpo-financial-reports2024-04-06T17:42Znever https://www.findknowdo.com/news/11/21/2016/fast-act-rulemaking-mandate-agenda-upcoming-sec-advisory-committee-meeting2019-04-03T18:57Znever https://www.findknowdo.com/news/11/21/2016/federal-register-sec-adopts-exemptions-facilitate-intrastate-and-regional-securities-offerings2021-01-06T20:49Znever https://www.findknowdo.com/news/11/21/2016/cftc-provides-extension-reporting-relief-non-u.s.-swap-dealers-and-participants2024-04-06T17:42Znever https://www.findknowdo.com/news/11/21/2016/cfpb-appeals-ruling-declaring-single-director-structure-unconstitutional2022-11-16T01:06Znever https://www.findknowdo.com/news/11/22/2016/house-agriculture-committee-tells-cftc-halt-controversial-proposals2020-12-15T04:23Znever https://www.findknowdo.com/news/11/22/2016/sec-trading-and-markets-director-other-sec-leaders-ready-depart2019-11-01T23:13Znever https://www.findknowdo.com/news/11/22/2016/acli-says-life-insurance-activities-pose-no-systemic-risk2024-01-30T18:17Znever https://www.findknowdo.com/news/11/22/2016/finras-black-friday-reminder-dont-forget-modified-cut-time-expiring-options2024-04-12T12:55Znever https://www.findknowdo.com/news/11/22/2016/cftc-publishes-enforcement-results-20162024-04-06T17:42Znever https://www.findknowdo.com/news/11/22/2016/investor-advocate-rick-fleming-describes-progress-sec-disclosure-effectiveness-initiative2023-04-24T22:40Znever https://www.findknowdo.com/news/11/23/2016/finra-reviews-benefits-money-market-deposit-accounts2024-04-12T12:55Znever https://www.findknowdo.com/news/11/23/2016/federal-register-sec-approves-national-market-system-plan-consolidated-audit-trail2024-01-31T19:31Znever https://www.findknowdo.com/news/11/25/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/25/2016/frb-approves-rule-implement-fast-act-provisions2024-04-12T21:27Znever https://www.findknowdo.com/news/11/29/2016/federal-agencies-issue-final-rules-adjusting-certain-credit-thresholds-small-loans2024-04-12T21:40Znever https://www.findknowdo.com/news/11/25/2016/finra-seeks-extension-time-tier-size-pilot-otc-equity-securities2024-04-12T12:55Znever https://www.findknowdo.com/news/11/25/2016/finra-announces-ketchum-prize-honor-retired-ceo2024-04-12T12:55Znever https://www.findknowdo.com/news/11/26/2016/sec-equity-market-structure-advisory-committee-consider-market-quality-subcommittee-recommendations2020-12-03T11:45Znever https://www.findknowdo.com/news/11/25/2016/msrb-issues-interpretive-notice-disclosure-municipal-security-market-discounts2024-04-12T00:21Znever https://www.findknowdo.com/news/11/25/2016/federal-register-cftc-adopts-amended-rules-cpo-financial-reports2024-04-06T17:42Znever https://www.findknowdo.com/news/11/25/2016/federal-register-cftc-approves-revisions-proposed-reg2024-04-06T17:42Znever https://www.findknowdo.com/news/11/28/2016/finra-highlights-developments-transaction-reporting-and-data-dissemination-inclusion-firm-element-training-plans2024-04-12T12:55Znever https://www.findknowdo.com/news/11/28/2016/sec-grants-limited-exemption-due-diligence-requirements-permit-publishing-quotations-otc-securities2020-12-16T21:53Znever https://www.findknowdo.com/news/11/28/2016/life-insurance-subsidiary-settles-conflict-interest-and-supervisory-failure-charges2024-04-12T12:55Znever https://www.findknowdo.com/news/11/28/2016/nfa-increases-forex-dealer-member-minimum-security-deposits2024-04-05T19:36Znever https://www.findknowdo.com/news/11/28/2016/cftc-extends-no-action-relief-clearing-and-trade-execution-requirements-certain-inter-affiliate-transactions2024-04-06T17:42Znever https://www.findknowdo.com/news/11/28/2016/insurance-company-may-use-statutory-accounting-principles-lieu-gaap-certain-financial-statements2024-01-30T18:17Znever https://www.findknowdo.com/news/11/28/2016/sec-provides-interpretive-guidance-ipo-procedures2020-12-15T06:32Znever https://www.findknowdo.com/news/11/28/2016/federal-register-sec-requests-comment-finra-proposal-disruptive-quoting-and-trading2024-04-12T12:55Znever https://www.findknowdo.com/news/11/29/2016/sec-renews-emsac-charter-emsac-approves-recommendations-market-quality-and-disclosure-%28-delta-strategy-group-summary%292023-01-01T20:29Znever https://www.findknowdo.com/news/11/29/2016/msrb-sets-effective-date-additional-markup-disclosure-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/11/29/2016/nfa-requests-board-nominations-public-representative2024-04-05T19:36Znever https://www.findknowdo.com/news/11/30/2016/firm-pays-fine-supervisory-failures-related-use-securities-backed-leverage-brokerage-accounts2024-04-12T12:55Znever https://www.findknowdo.com/news/11/30/2016/cftc-grants-dco-registration-cme-clearing-europe-limited2024-04-06T17:42Znever https://www.findknowdo.com/news/11/30/2016/federal-register-federal-agencies-issue-final-rules-adjusting-certain-credit-thresholds-small-loans2024-04-12T21:40Znever https://www.findknowdo.com/news/11/30/2016/comptroller-urges-regulators-remain-vigilant-next-downturn2024-04-12T21:40Znever https://www.findknowdo.com/news/11/30/2016/trump-nominee-treasury-secretary-wants-strip-back-dodd-frank-and-cut-corporate-taxes2024-04-02T19:54Znever https://www.findknowdo.com/news/11/30/2016/cftc-allows-fcms-and-ibs-consolidate-risk-disclosure-documents2024-04-06T17:42Znever https://www.findknowdo.com/news/12/01/2016/federal-register-sec-requests-comments-finra-proposal-extend-tier-size-pilot-otc-equity-securities2024-04-12T12:55Znever https://www.findknowdo.com/news/12/01/2016/nfa-provides-guidance-entities-operating-under-exemption-cpo/cta-registration2024-04-05T19:36Znever https://www.findknowdo.com/news/12/02/2016/senators-warren-and-sanders-criticize-treasury-secretary-nominee2019-11-01T23:13Znever https://www.findknowdo.com/news/12/01/2016/sec-grants-investment-company-exemption-certain-tender-offer-requirements2021-01-24T01:48Znever https://www.findknowdo.com/news/12/02/2016/sec-provides-guidance-programming-changes-edgar-system2020-12-15T04:09Znever https://www.findknowdo.com/news/12/01/2016/msrb-provides-guidance-investment-advisers-managed-account-transactions2024-04-12T00:21Znever https://www.findknowdo.com/news/12/01/2016/sec-contends-securities-exchanges-have-immunity-only-when-acting-regulators2020-12-15T03:37Znever https://www.findknowdo.com/news/12/01/2016/sec-advisory-committee-discuss-corporate-board-diversity-and-capital-raising2019-12-24T17:47Znever https://www.findknowdo.com/news/12/02/2016/finra-provides-effective-date-amendments-code-arbitration-procedures2024-04-12T12:55Znever https://www.findknowdo.com/news/12/02/2016/cftc-proposes-capital-liquidity-and-related-requirements-swap-dealers2024-04-06T17:42Znever https://www.findknowdo.com/news/12/05/2016/representative-hensarling-continue-financial-services-committee-chair2019-11-01T23:13Znever https://www.findknowdo.com/news/12/02/2016/cfpb-office-ombudsman-issues-annual-report2024-04-12T17:10Znever https://www.findknowdo.com/news/12/02/2016/sec-grants-participants-exemption-certain-data-collection-and-publishing-requirements-tick-size-pilot2020-12-15T03:14Znever https://www.findknowdo.com/news/12/05/2016/house-passes-bill-replacing-procedures-enhanced-supervision-bhcs2020-12-15T06:41Znever https://www.findknowdo.com/news/12/02/2016/frb-governor-brainard-describes-opportunities-and-challenges-fintech2024-04-12T21:27Znever https://www.findknowdo.com/news/12/02/2016/sec-chief-economist-leave-year-end2019-04-03T18:57Znever https://www.findknowdo.com/news/12/02/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/05/2016/sec-grants-advisory-firm-waiver-bad-actor-disqualification-under-regulation-d2021-01-06T20:48Znever https://www.findknowdo.com/news/12/05/2016/finra-fines-firm-aml-and-supervision-violations2024-04-12T12:55Znever https://www.findknowdo.com/news/12/05/2016/sec-rewards-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/12/05/2016/cftc-reproposes-rules-limiting-speculative-futures-and-swaps-positions-finalizes-aggregation-rules2024-04-06T17:42Znever https://www.findknowdo.com/news/12/06/2016/finra-provides-interpretive-guidance-certain-reporting-requirements-otc-trades2024-04-12T12:55Znever https://www.findknowdo.com/news/12/06/2016/cftc-chair-massad-defends-dodd-frank-derivatives-regulations2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/12/07/2016/sec-division-corporate-finance-director-keith-higgins-leave-sec-january2019-11-01T23:13Znever https://www.findknowdo.com/news/12/06/2016/ny-fed-president-discusses-regulatory-progress-calls-cultural-reform-banks2024-04-12T21:26Znever https://www.findknowdo.com/news/12/07/2016/it-hacker-settles-sec-charges-insider-trading2020-12-15T04:35Znever https://www.findknowdo.com/news/12/07/2016/firm-settles-charges-sec-selling-security-based-swaps-retail-investors2020-12-15T05:44Znever https://www.findknowdo.com/news/12/07/2016/cftc-penalizes-non-u.s.-swap-dealer-failing-report-swap-transactions-time2024-04-06T17:42Znever https://www.findknowdo.com/news/12/07/2016/sec-grants-exemption-insurance-company-exchange-act-registration2024-01-30T18:17Znever https://www.findknowdo.com/news/12/08/2016/trump-administration-change-executive-action-and-inaction2024-09-23T23:21Zyearly https://www.findknowdo.com/news/12/07/2016/sec-grants-relief-nscc-broker-dealer-members-regarding-allowable-investments-nscc-long-free-account2024-01-31T02:34Znever https://www.findknowdo.com/news/12/07/2016/trade-associations-request-extension-comment-period-reg.-proposal2022-11-19T22:39Znever https://www.findknowdo.com/news/12/08/2016/mfa-supports-esmas-guidance-trading-halts-and-sec-amendments-securities-settlement-cycle2021-01-13T17:57Znever https://www.findknowdo.com/news/12/08/2016/airline-settles-sec-charge-compliance-violations-anti-corruption-case2024-02-04T04:11Znever https://www.findknowdo.com/news/12/08/2016/supreme-court-restores-implied-benefit-theory-downstream-tippee-insider-trading-prosecutions2024-02-04T04:11Znever https://www.findknowdo.com/news/12/08/2016/cftc-enforcement-review-tests-ice-futures-u.s.-trade-practice-surveillance-program2024-04-06T17:42Znever https://www.findknowdo.com/news/12/08/2016/nasaa-solicits-comments-proposals-tier-1-offerings-under-regulation-a2024-02-03T22:51Znever https://www.findknowdo.com/news/12/08/2016/sec-enforcement-director-andrew-ceresney-leave-sec-end-year2021-06-18T15:52Znever https://www.findknowdo.com/news/12/09/2016/godspeed-john-glenn2019-04-03T18:57Znever https://www.findknowdo.com/news/12/09/2016/sec-pays-whistleblower-tip2024-01-30T02:46Znever https://www.findknowdo.com/news/12/09/2016/finra-proposes-expanding-reporting-requirements-alternative-trading-systems2024-04-12T12:55Znever https://www.findknowdo.com/news/12/09/2016/chair-massad-describes-cftcs-efforts-behalf-commercial-end-users2024-04-06T17:42Znever https://www.findknowdo.com/news/12/09/2016/cftc-commissioner-giancarlo-calls-clear-eyed-attention-market-challenges2024-04-06T17:42Znever https://www.findknowdo.com/news/12/12/2016/consumer-financial-protection-bureau-summarizes-fall-2016-regulatory-agenda2024-04-12T17:10Znever https://www.findknowdo.com/news/12/12/2016/cftc-limits-definition-commodity-trading-advisor-excludes-farm-credit-system-institutions2024-04-06T17:42Znever https://www.findknowdo.com/news/12/13/2016/risk-desk-editor-reviews-cftc-position-limits-debate2024-04-06T17:42Znever https://www.findknowdo.com/news/12/12/2016/sec-charges-traders-stock-price-manipulation-scheme2020-12-15T03:54Znever https://www.findknowdo.com/news/12/12/2016/banking-agencies-finalize-rules-increasing-number-banks-and-savings-associations-qualify-18-month-exam-cycle2024-04-12T21:40Znever https://www.findknowdo.com/news/12/12/2016/frb-solicits-comments-application-rating-system-savings-and-loan-holding-companies2024-04-12T21:26Znever https://www.findknowdo.com/news/12/12/2016/frb-approves-technical-changes-gsib-rule-solicits-comments-implementation-reporting-requirements2024-04-12T21:26Znever https://www.findknowdo.com/news/12/13/2016/sec-chair-mary-jo-white-urges-continued-support-disclosure-and-fast-act-initiatives-%28-delta-strategy-group-summary%292020-09-18T01:55Znever https://www.findknowdo.com/news/12/13/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/13/2016/finra-requests-information-former-bank-employees-about-propriety-their-terminations2024-04-12T12:55Znever https://www.findknowdo.com/news/12/13/2016/sifma-urges-second-circuit-review-decision-expanding-antitrust-liability-libor-rates2022-11-16T00:58Znever https://www.findknowdo.com/news/12/13/2016/trade-associations-comment-fdic-proposed-rules-would-stay-default-rights-certain-financial-contracts2024-04-12T19:05Znever https://www.findknowdo.com/news/12/13/2016/office-financial-research-reports-potential-threats-financial-stability2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/12/13/2016/frb-issues-guidance-concerning-volcker-rule-illiquid-funds-extension-requests2024-04-12T21:26Znever https://www.findknowdo.com/news/12/14/2016/finra-publishes-holiday-schedule2024-04-12T12:55Znever https://www.findknowdo.com/news/12/14/2016/sec-names-new-associate-director-division-economic-and-risk-analysis2020-12-23T23:22Znever https://www.findknowdo.com/news/12/14/2016/sifma-calls-sec-reject-proposed-exchange-fees2021-01-13T20:58Znever https://www.findknowdo.com/news/12/14/2016/finra-foundation-survey-finds-u.s.-investors-unfamiliar-investment-concepts2024-04-12T12:55Znever https://www.findknowdo.com/news/12/14/2016/sec-grants-ineligible-issuer-waiver-firm2020-12-15T06:27Znever https://www.findknowdo.com/news/12/14/2016/occ-bank-supervision-improving-says-peer-review2024-04-12T21:40Znever https://www.findknowdo.com/news/12/15/2016/banking-agencies-review-resolution-plans2024-04-12T21:26Znever https://www.findknowdo.com/news/12/14/2016/sec-approves-budget-public-company-accounting-oversight-board2022-12-03T14:10Znever https://www.findknowdo.com/news/12/15/2016/sec-exempts-israeli-company-certain-tender-offer-requirements2019-12-24T22:31Znever https://www.findknowdo.com/news/12/15/2016/finra-recaps-monthly-regulatory-activities2024-04-12T12:55Znever https://www.findknowdo.com/news/12/15/2016/treasury-official-calls-global-leaders-and-financial-services-industry-develop-cybersecurity-standards2024-04-02T19:54Znever https://www.findknowdo.com/news/12/16/2016/iosco-emphasizes-importance-implementation-and-disclosure-new-accounting-standards2022-12-03T14:10Znever https://www.findknowdo.com/news/12/16/2016/fincen-fines-new-york-based-credit-union-aml-violations2024-04-02T18:52Znever https://www.findknowdo.com/news/12/15/2016/enforcement-chief-brad-bennett-leave-finra2024-04-12T12:55Znever https://www.findknowdo.com/news/12/15/2016/sifma-calls-swift-action-sec-proposal-shorten-securities-settlement-cycle2021-01-13T20:54Znever https://www.findknowdo.com/news/12/15/2016/finra-proposes-changes-conform-rules-shortened-t2-settlement-cycle2024-04-12T12:55Znever https://www.findknowdo.com/news/12/15/2016/finra-proposes-rule-amendments-clarify-trace-reporting-transactions-u.s.-treasuries2024-04-12T12:55Znever https://www.findknowdo.com/news/12/15/2016/sec-chair-white-presses-ahead-new-regulations2020-12-15T03:00Znever https://www.findknowdo.com/news/12/16/2016/occ-removes-regulations-pursuant-paperwork-reduction-act2024-04-12T21:40Znever https://www.findknowdo.com/news/12/16/2016/cftc-staff-provides-inter-affiliate-clearing-relief-australia-and-mexico2024-04-06T17:42Znever https://www.findknowdo.com/news/12/16/2016/frb-adopts-tlac-final-rule-and-clean-holding-company-requirements-gsibs2024-04-12T21:26Znever https://www.findknowdo.com/news/12/16/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/16/2016/iosco-provides-guidance-financial-benchmarks2021-01-16T19:11Znever https://www.findknowdo.com/news/12/16/2016/federal-register-cftc-finalizes-aggregation-rules2024-04-06T17:42Znever https://www.findknowdo.com/news/12/16/2016/federal-register-cftc-proposes-capital-liquidity-and-related-requirements-swap-dealers2024-04-06T17:42Znever https://www.findknowdo.com/news/12/16/2016/sec-nyag-and-finra-fine-broker-dealer-order-routing-practices-and-disclosures2024-04-12T12:55Znever https://www.findknowdo.com/news/12/19/2016/sec-settles-charges-against-broker-dealer-personnel-violating-market-structure-rules2020-12-15T06:28Znever https://www.findknowdo.com/news/12/19/2016/economist-analyzes-otc-stock-outcomes2020-12-16T21:53Znever https://www.findknowdo.com/news/12/19/2016/nfa-specifies-effective-date-enhanced-form-pqr-and-pr-reporting-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/12/19/2016/frb-adopts-final-public-disclosure-requirements-liquidity-coverage-ratios2024-04-12T21:26Znever https://www.findknowdo.com/news/12/19/2016/sec-fines-tech-company-violating-whistleblower-protection-rules2024-01-30T02:46Znever https://www.findknowdo.com/news/12/20/2016/president-obama-signs-sec-small-business-advocate-act-20162020-12-04T23:35Znever https://www.findknowdo.com/news/12/19/2016/fincen-extends-certain-fbar-filing-deadlines2024-04-02T18:52Znever https://www.findknowdo.com/news/12/20/2016/broker-dealer-pays-penalty-settle-customer-protection-rule-violation2020-12-15T06:06Znever https://www.findknowdo.com/news/12/20/2016/cftc-division-grants-no-action-relief-related-dco-reporting-obligations2024-04-06T17:42Znever https://www.findknowdo.com/news/12/20/2016/streetwise-professor-urges-trump-administration-focus-liquidity-risk-created-clearing-mandates2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/12/20/2016/company-pays-penalty-illegal-separation-agreements-and-whistleblower-retaliation2024-01-30T02:46Znever https://www.findknowdo.com/news/12/20/2016/finra-proposes-eliminating-fees-historical-trade-data-accessed-through-adds-website2024-04-12T12:55Znever https://www.findknowdo.com/news/12/21/2016/federal-register-sec-requests-comments-finra-proposal-expand-ats-reporting-requirements2024-04-12T12:54Znever https://www.findknowdo.com/news/12/21/2016/frb-extends-comment-period-proposed-physical-commodity-and-merchant-banking-activity-requirements2024-04-12T21:26Znever https://www.findknowdo.com/news/12/21/2016/bank-agrees-pay-fine-settle-benchmark-manipulation-charges2024-04-06T17:42Znever https://www.findknowdo.com/news/12/21/2016/chicago-based-trader-pay-2.5-million-penalty-alleged-spoofing-misconduct2024-04-06T17:42Znever https://www.findknowdo.com/news/12/21/2016/finra-fines-twelve-firms-recordkeeping-violations2024-04-12T12:54Znever https://www.findknowdo.com/news/12/21/2016/sec-details-arbitration-and-mediation-process-customer-disputes-broker-dealer2020-12-15T06:39Znever https://www.findknowdo.com/news/12/22/2016/iosco-calls-close-monitoring-rapidly-developing-automated-advice-market2021-01-16T19:11Znever https://www.findknowdo.com/news/12/21/2016/iosco-requests-comments-report-order-routing-incentives2022-11-19T19:43Znever https://www.findknowdo.com/news/12/21/2016/nfa-highlights-progress-2016-annual-review2024-04-05T19:36Znever https://www.findknowdo.com/news/12/21/2016/iosco-reports-risks-over-counter-leveraged-products2024-02-08T02:29Znever https://www.findknowdo.com/news/12/22/2016/sec-charges-former-government-official-and-two-brokers-lavish-pay-play-scheme2024-02-05T01:54Znever https://www.findknowdo.com/news/12/22/2016/sec-annual-reports-show-improved-compliance-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/12/22/2016/sec-promotes-two-officials-within-division-investment-management2019-04-03T18:57Znever https://www.findknowdo.com/news/12/23/2016/federal-register-expiration-temporary-rule-timing-cat-nms-plan2024-01-31T19:31Znever https://www.findknowdo.com/news/12/23/2016/frb-and-fomc-request-comment-interim-final-rule-amend-foia-processing-requirements2024-04-12T21:26Znever https://www.findknowdo.com/news/12/23/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/27/2016/fcpa-enforcement-actions-settle-year-end2024-04-03T19:49Znever https://www.findknowdo.com/news/12/27/2016/federal-register-sec-requests-comments-finra-proposal-trace-reporting-u.s.-treasuries2024-04-12T12:54Znever https://www.findknowdo.com/news/12/28/2016/federal-register-sec-requests-comments-finra-proposal-conform-rules-shortened-t2-settlement-cycle2024-04-12T12:54Znever https://www.findknowdo.com/news/12/28/2016/sec-offers-advice-investors-20172019-04-03T18:57Znever https://www.findknowdo.com/news/12/29/2016/sec-charges-attorney-scheme-defraud-investors-eb-5-investor-program2024-02-12T02:40Znever https://www.findknowdo.com/news/12/29/2016/sec-charges-traders-fraud-trading-hacked-nonpublic-information2024-04-03T19:49Znever https://www.findknowdo.com/news/12/29/2016/gao-issues-report-agency-coordination-and-financial-market-impact-latest-dodd-frank-rules2024-01-30T19:23Znever https://www.findknowdo.com/news/12/29/2016/federal-register-frb-adopts-final-public-disclosure-requirements-liquidity-coverage-ratios2024-04-12T21:26Znever https://www.findknowdo.com/news/12/30/2016/manufacturer-pay-over-80-million-resolve-fcpa-and-accounting-violations2023-06-10T15:19Znever https://www.findknowdo.com/news/12/30/2016/federal-register-sec-requests-comments-finra-proposal-eliminate-fees-certain-historical-trade-data2024-04-12T12:54Znever https://www.findknowdo.com/news/12/30/2016/federal-register-cftc-requests-comments-position-limits-reproposal-%28-delta-strategy-group-summary%292024-04-06T17:42Znever https://www.findknowdo.com/news/12/30/2016/nfa-elect-cpo/cta-director-annual-meeting2024-04-05T19:36Znever https://www.findknowdo.com/news/12/30/2016/study-finds-volcker-rule-has-deleterious-effect-corporate-bond-liquidity2024-04-12T21:26Znever https://www.findknowdo.com/news/12/30/2016/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/03/2017/finra-notifies-members-effective-date-amendments-arbitration-procedures2024-04-12T12:54Znever https://www.findknowdo.com/news/01/03/2017/finra-reminds-broker-dealers-and-investment-advisers-review-end-year-final-statements2024-04-12T12:54Znever https://www.findknowdo.com/news/01/03/2017/nfa-updates-guidance-forex-transactions2024-04-05T19:36Znever https://www.findknowdo.com/news/01/03/2017/sec-updates-guidance-mutual-fund-disclosures2022-08-30T19:10Znever https://www.findknowdo.com/news/01/03/2017/cftc-chair-timothy-massad-resigns2024-04-06T17:42Znever https://www.findknowdo.com/news/01/04/2017/finra-announces-effective-date-new-arbitration-code-requirement-parties-use-online-dispute-resolution-portal2024-04-12T12:54Znever https://www.findknowdo.com/news/01/04/2017/finra-sets-effective-date-expanded-chair-roster-eligibility-arbitration2024-04-12T12:54Znever https://www.findknowdo.com/news/01/04/2017/president-elect-trump-nominate-jay-clayton-lead-sec2020-12-24T13:22Znever https://www.findknowdo.com/news/01/04/2017/finra-prioritizes-compliance-supervision-and-risk-management-20172024-04-12T12:54Znever https://www.findknowdo.com/news/01/05/2017/msrb-review-amended-disclosure-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/01/05/2017/financial-services-committee-chair-welcomes-new-republican-members2019-11-01T23:13Znever https://www.findknowdo.com/news/01/05/2017/isda-adds-japanese-jurisdictional-module-resolution-stay-protocol2022-07-30T23:52Znever https://www.findknowdo.com/news/01/05/2017/senator-sherrod-brown-criticizes-president-elect-trumps-pick-sec-chair2019-11-01T23:13Znever https://www.findknowdo.com/news/01/05/2017/finra-proposes-extension-temporary-exemptive-relief-application-finra-rules-security-based-swaps2024-04-12T12:54Znever https://www.findknowdo.com/news/01/05/2017/nfa-specifies-effective-date-amended-forex-transaction-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/01/05/2017/district-court-grants-consent-order-cftc-against-jon-corzine-allegedly-mishandling-customer-funds2024-04-06T17:42Znever https://www.findknowdo.com/news/01/05/2017/sec-chair-white-urges-successor-prioritize-globally-accepted-accounting-standards2022-12-03T14:10Znever https://www.findknowdo.com/news/01/06/2017/msrb-requests-comment-proposed-customer-account-transfer-standards2024-04-12T00:21Znever https://www.findknowdo.com/news/01/09/2017/outgoing-labor-secretary-highlights-great-progress2024-04-04T19:21Znever https://www.findknowdo.com/news/01/06/2017/sec-awards-whistleblower-more-5.5-million2024-01-30T02:46Znever https://www.findknowdo.com/news/01/06/2017/occ-finds-high-compliance-risk-national-banks-and-federal-savings-associations2024-04-12T21:39Znever https://www.findknowdo.com/news/01/06/2017/msrb-highlights-regulatory-developments-20162024-04-12T00:21Znever https://www.findknowdo.com/news/01/06/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/09/2017/msrb-seeks-applicants-fill-seats-board-directors2024-04-12T00:21Znever https://www.findknowdo.com/news/01/09/2017/cfpb-appoints-new-leaders2024-04-12T17:10Znever https://www.findknowdo.com/news/01/09/2017/msrb-lists-upcoming-municipal-securities-offerings-emma2024-04-12T00:21Znever https://www.findknowdo.com/news/01/09/2017/sec-division-designates-canadian-exchange-offshore-securities-market2022-11-15T03:08Znever https://www.findknowdo.com/news/01/09/2017/adviser-settles-sec-charges-he-paid-secret-referral-fees2022-08-30T19:04Znever https://www.findknowdo.com/news/01/11/2017/sec-charges-brokers-generating-commissions-and-fees-through-excessive-trading2026-04-23T17:02Zyearly https://www.findknowdo.com/news/01/10/2017/cftc-chair-massad-urges-incoming-administration-not-repeal-post-crisis-reforms2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/01/10/2017/port-authority-settles-charges-it-failed-disclose-roadway-projects-risks2024-02-05T01:50Znever https://www.findknowdo.com/news/01/11/2017/sec-provides-guidance-investors-identifying-and-responding-excessive-trading-and-fees2020-12-15T03:59Znever https://www.findknowdo.com/news/01/11/2017/cftc-permits-dutch-fbot-trade-direct-access-u.s.2024-04-06T17:42Znever https://www.findknowdo.com/news/01/11/2017/house-passes-bill-facilitate-solicitation-angel-investor-groups2020-12-15T05:50Znever https://www.findknowdo.com/news/01/11/2017/fcm-settles-cftc-charges-over-supervisory-failures-concerning-exchange-processing-fees2024-04-06T17:42Znever https://www.findknowdo.com/news/01/11/2017/ny-court-appeals-affirms-ruling-informal-correspondence-may-be-enough-constitute-formal-trade-agreement2022-11-16T00:45Znever https://www.findknowdo.com/news/01/12/2017/federal-register-sec-requests-comments-extending-expiration-date-application-finra-rules-security-based-swaps2024-04-12T12:54Znever https://www.findknowdo.com/news/01/12/2017/president-elect-taps-former-nyc-mayor-giuliani-cybersecurity-advice2021-03-20T16:46Znever https://www.findknowdo.com/news/01/13/2017/government-contractor-pay-penalty-recordkeeping-and-accounting-failures2022-12-03T14:10Znever https://www.findknowdo.com/news/01/12/2017/nfa-clarifies-member-obligation-when-transacting-customer-business-exempt-cpo/ctas2024-04-05T19:36Znever https://www.findknowdo.com/news/01/12/2017/sec-ocie-sets-2017-examination-priorities2022-11-20T15:54Znever https://www.findknowdo.com/news/01/12/2017/cftc-division-grants-no-action-relief-cpo-registration-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/01/13/2017/bank-settles-sec-charges-reporting-recordkeeping-and-accounting-failures2022-12-03T14:10Znever https://www.findknowdo.com/news/01/13/2017/broker-pay-24.4-million-settle-sec-charges-stemming-improper-handling-pre-release-adrs2020-12-15T06:53Znever https://www.findknowdo.com/news/01/12/2017/sec-issues-guidance-investors-adrs2019-12-23T03:59Znever https://www.findknowdo.com/news/01/12/2017/cftc-approves-proposal-modernize-annual-recordkeeping-requirements2024-04-06T17:42Znever https://www.findknowdo.com/news/01/13/2017/sec-enforcement-division-complex-financial-instruments-unit-chief-depart2020-12-23T23:22Znever https://www.findknowdo.com/news/01/13/2017/house-passes-cftc-reauthorization-act2024-04-06T17:41Znever https://www.findknowdo.com/news/01/13/2017/cftc-approves-proposals-relating-swap-data-registration-and-disciplinary-review-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/01/18/2017/medical-device-manufacturer-settles-repeated-fcpa-violations2023-06-10T15:19Znever https://www.findknowdo.com/news/01/13/2017/cftc-permits-derivatives-clearing-organization-commingle-and-portfolio-margin-certain-customer-positions2024-04-06T17:41Znever https://www.findknowdo.com/news/01/13/2017/broker-dealer-settles-charges-misleading-clients-about-trade-pricing2022-08-30T19:05Znever https://www.findknowdo.com/news/01/13/2017/house-approves-bill-require-sec-conduct-cost-benefit-analyses2020-12-03T17:10Znever https://www.findknowdo.com/news/01/13/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/17/2017/cotton-merchant-pay-monetary-penalty-settle-alleged-reporting-violations2024-04-06T17:41Znever https://www.findknowdo.com/news/01/17/2017/investment-advisory-firms-settle-sec-charges-alleging-pay-play-violations2021-02-01T19:49Znever https://www.findknowdo.com/news/01/17/2017/investment-advisory-firm-agrees-settle-customer-billing-and-compliance-issues2022-01-02T16:59Znever https://www.findknowdo.com/news/01/17/2017/global-investment-management-firm-pay-penalty-improper-separation-agreements2024-01-30T02:46Znever https://www.findknowdo.com/news/01/17/2017/gao-finds-sec-still-lacks-cross-divisional-collaboration2024-01-30T19:23Znever https://www.findknowdo.com/news/01/18/2017/president-obama-nominates-two-fill-cftc-commissioner-vacancies2021-06-21T17:44Znever https://www.findknowdo.com/news/01/18/2017/cftc-commissioner-giancarlo-sets-forth-priorities-making-market-reform-work-america2024-04-06T17:41Znever https://www.findknowdo.com/news/01/18/2017/pharmaceutical-company-settles-sec-charge-ma-disclosure-violations2020-12-15T05:58Znever https://www.findknowdo.com/news/01/18/2017/sec-charges-businessman-misusing-eb-5-investments-personal-gain2024-02-12T02:40Znever https://www.findknowdo.com/news/01/19/2017/federal-register-cftc-requests-comments-proposal-modernize-recordkeeping-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/01/19/2017/auto-manufacturer-settles-sec-charge-internal-accounting-failures2020-12-15T05:24Znever https://www.findknowdo.com/news/01/19/2017/u.s.-futures-commission-merchant-settles-cftc-spoofing-charges2024-04-06T17:41Znever https://www.findknowdo.com/news/01/19/2017/finra-names-new-senior-vp-office-government-affairs2024-04-12T12:54Znever https://www.findknowdo.com/news/01/19/2017/sec-chief-staff-deputy-chief-staff-and-general-counsel-leave-commission2019-11-01T23:13Znever https://www.findknowdo.com/news/01/19/2017/cftc-division-enforcement-director-aitan-goelman-leave-agency2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/19/2017/cftc-enforcement-division-outlines-factors-evaluating-cooperation-companies-and-individuals2024-04-06T17:41Znever https://www.findknowdo.com/news/01/19/2017/finra-solicits-comments-about-report-implications-blockchain-securities-industry2024-04-12T12:54Znever https://www.findknowdo.com/news/01/19/2017/sec-names-chief-office-market-intelligence2020-12-23T23:22Znever https://www.findknowdo.com/news/01/19/2017/outgoing-sec-chair-white-urges-successors-maintain-fierce-independence2020-12-15T06:22Znever https://www.findknowdo.com/news/01/20/2017/cftc-names-christopher-giancarlo-acting-chairman2024-04-06T17:41Znever https://www.findknowdo.com/news/01/20/2017/sec-and-hong-kong-sfc-establish-supervisory-cooperation-arrangement2020-12-03T17:07Znever https://www.findknowdo.com/news/01/20/2017/treasury-names-adam-szubin-acting-secretary2024-04-02T19:54Znever https://www.findknowdo.com/news/01/20/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/20/2017/federal-register-cftc-proposes-technical-amendments-rules-registration-and-review-adverse-actions2024-04-06T17:41Znever https://www.findknowdo.com/news/01/20/2017/federal-register-cftc-makes-annual-adjustments-civil-monetary-penalties-cea-and-cftc-violations2024-04-06T17:41Znever https://www.findknowdo.com/news/01/20/2017/federal-register-sec-adopts-updated-edgar-filer-manual-affecting-muni-advisor-forms2020-12-03T05:07Znever https://www.findknowdo.com/news/01/23/2017/federal-reserve-bank-new-york-approves-promotions2024-04-12T21:26Znever https://www.findknowdo.com/news/01/23/2017/cftc-extends-comment-period-reg.2024-04-06T17:41Znever https://www.findknowdo.com/news/01/23/2017/sec-awards-7-million-whistleblowers2024-01-30T02:46Znever https://www.findknowdo.com/news/01/23/2017/agencies-freeze-pending-regulations2021-06-20T03:29Znever https://www.findknowdo.com/news/01/23/2017/ftc-modifies-thresholds-merger-filings-and-interlocking-directorates2024-04-03T20:16Znever https://www.findknowdo.com/news/01/24/2017/treasury-secretary-nominee-clarifies-positions-volcker-rule-carried-interest2024-04-02T19:54Znever https://www.findknowdo.com/news/01/24/2017/msrb-names-new-chief-economist2024-04-12T00:21Znever https://www.findknowdo.com/news/01/26/2017/finra-provides-overview-2017-election-cycle2024-04-12T12:54Znever https://www.findknowdo.com/news/01/24/2017/cftc-division-extends-no-action-relief-cpo-registration-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/01/24/2017/occ-supplements-examination-procedures-third-party-relationships2024-04-12T21:36Znever https://www.findknowdo.com/news/01/24/2017/firms-settle-sec-charges-regarding-forex-trading-program2024-01-29T03:14Znever https://www.findknowdo.com/news/01/24/2017/federal-register-irs-and-treasury-advance-regulations-related-equity-linked-instruments2024-09-23T19:49Zyearly https://www.findknowdo.com/news/01/25/2017/federal-register-frb-adopts-tlac-final-rule-and-clean-holding-company-requirements-gsibs2024-04-12T21:26Znever https://www.findknowdo.com/news/01/25/2017/federal-register-cftc-requests-comments-proposals-relating-swap-data-registration-and-disciplinary-review-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/01/25/2017/fia-ceo-asks-president-trump-ease-marketplace-regulation2021-01-13T19:23Znever https://www.findknowdo.com/news/01/25/2017/sifma-amg-and-iaa-request-transitional-relief-variation-margin-implementation-deadline2021-01-13T20:54Znever https://www.findknowdo.com/news/01/26/2017/federal-register-cftc-extends-comment-period-regulation2024-04-06T17:41Znever https://www.findknowdo.com/news/01/26/2017/fcm-and-ib-settle-cftc-charges-alleging-recordkeeping-and-related-supervisory-failures2024-04-06T17:41Znever https://www.findknowdo.com/news/01/26/2017/cftc-acting-chair-names-acting-general-counsel2024-04-06T17:41Znever https://www.findknowdo.com/news/01/26/2017/cftc-division-grants-relief-permitting-withdrawal-residual-interests2024-04-06T17:41Znever https://www.findknowdo.com/news/01/27/2017/sec-charges-brokerage-firm-scheme-sell-unregistered-securities2023-06-04T13:02Znever https://www.findknowdo.com/news/01/27/2017/citigroup-settle-sec-charges-overbilling-advisory-clients2021-01-25T23:08Znever https://www.findknowdo.com/news/01/30/2017/ny-appellate-court-upholds-actions-party-credit-default-swap-reduced-payment-obligations-and-increased-default-rate-interest2022-11-22T15:13Znever https://www.findknowdo.com/news/01/27/2017/cftc-acting-chair-giancarlo-makes-staff-changes2024-04-06T17:41Znever https://www.findknowdo.com/news/01/27/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/27/2017/sec-chief-operating-officer-leave-agency-february2019-12-19T22:29Znever https://www.findknowdo.com/news/01/30/2017/nfa-close-office-registration-kiosks2024-04-05T19:36Znever https://www.findknowdo.com/news/01/30/2017/acting-cftc-chair-giancarlo-weighs-new-priorities2024-04-06T17:41Znever https://www.findknowdo.com/news/01/30/2017/msrb-reviews-municipal-advisor-and-dealer-rulemakings-quarterly-board-meeting2024-04-12T00:21Znever https://www.findknowdo.com/news/01/30/2017/president-trump-imposes-regulatory-cap-and-cost-allowance-requirements-executive-agencies2021-06-20T03:40Znever https://www.findknowdo.com/news/01/30/2017/sec-ocie-director-leave-commission-february-20172020-12-23T23:21Znever https://www.findknowdo.com/news/01/30/2017/cftc-commissioner-bowen-contends-transitions-present-opportunities2024-04-06T17:41Znever https://www.findknowdo.com/news/01/31/2017/sec-division-trading-and-markets-associate-director-leave-agency-early-february2020-12-23T23:22Znever https://www.findknowdo.com/news/01/31/2017/federal-reserve-board-adopts-more-lenient-stress-test-requirements-certain-bank-holding-companies2024-04-12T21:26Znever https://www.findknowdo.com/news/01/31/2017/bank-settle-nydfs-charges-mirror-trading-scheme2022-07-27T22:56Znever https://www.findknowdo.com/news/01/31/2017/cftc-grants-exemptive-relief-certain-ric-liquidation-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/01/31/2017/isda-encourages-regulators-extend-variation-margin-deadline2021-01-15T00:20Znever https://www.findknowdo.com/news/02/01/2017/msrb-seeks-applicants-fill-board-director-vacancies2026-04-15T20:58Zyearly https://www.findknowdo.com/news/02/01/2017/sec-acting-chair-directs-commission-staff-reconsider-conflict-minerals-rule-implementation2022-07-31T00:01Znever https://www.findknowdo.com/news/02/01/2017/cftc-staff-grants-temporary-margin-relief-emir-regulated-swap-dealers2024-04-06T17:41Znever https://www.findknowdo.com/news/02/01/2017/district-court-imposes-penalty-illegal-precious-metal-transactions2024-04-06T17:41Znever https://www.findknowdo.com/news/02/02/2017/finra-updates-electronic-blue-sheets2024-04-12T12:54Znever https://www.findknowdo.com/news/02/02/2017/house-votes-nullify-sec-resource-extraction-rule2020-12-04T23:35Znever https://www.findknowdo.com/news/02/02/2017/sec-charges-adviser-misappropriating-investor-funds2020-12-15T06:01Znever https://www.findknowdo.com/news/02/03/2017/bank-settles-cftc-charges-isdafix-benchmark-swap-rate-manipulation2024-04-06T17:41Znever https://www.findknowdo.com/news/02/03/2017/occ-and-frb-agencies-release-dodd-frank-supervisory-stress-test-scenarios2024-04-12T21:36Znever https://www.findknowdo.com/news/02/03/2017/sec-outlines-features-and-risks-alternative-mutual-funds2021-01-25T01:16Znever https://www.findknowdo.com/news/02/03/2017/isda-encourages-eu-u.s.-common-framework-bank-capital-requirements2021-01-15T00:20Znever https://www.findknowdo.com/news/02/03/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/03/2017/president-trump-establishes-core-principles-regulating-united-states-financial-system-addresses-fiduciary-rule2024-09-23T23:13Zyearly https://www.findknowdo.com/news/02/06/2017/senate-passes-nullification-sec-resource-extraction-rule2020-12-04T23:35Znever https://www.findknowdo.com/news/02/06/2017/sec-solicits-feedback-pay-ratio-rule-sec-acting-chair-calls-staff-rethink-implementation2020-12-04T23:35Znever https://www.findknowdo.com/news/02/06/2017/firm-permanently-barred-defrauding-retail-forex-customers2024-04-06T17:41Znever https://www.findknowdo.com/news/02/06/2017/fdic-releases-dodd-frank-supervisory-stress-test-scenarios2024-04-12T19:05Znever https://www.findknowdo.com/news/02/06/2017/cftc-staff-provides-temporary-relief-concerning-aggregation-notice-filings-position-limits2024-04-06T17:41Znever https://www.findknowdo.com/news/02/07/2017/senator-warren-cites-industry-support-fiduciary-rule2024-01-30T18:17Znever https://www.findknowdo.com/news/02/09/2017/ofr-evaluates-effects-capital-buffers-stress-test-results2022-07-27T19:43Znever https://www.findknowdo.com/news/02/09/2017/finra-cites-progress-implementing-arbitration-task-force-recommendations2024-04-12T12:53Znever https://www.findknowdo.com/news/02/08/2017/iosco-evaluates-risks-and-benefits-fintech2021-01-16T19:10Znever https://www.findknowdo.com/news/02/08/2017/nfa-elects-members-board-directors-and-2017-nominating-committee2024-04-05T19:36Znever https://www.findknowdo.com/news/02/08/2017/msrb-improves-emma-email-alert-system2024-04-12T00:21Znever https://www.findknowdo.com/news/02/08/2017/sec-advisory-committee-examine-secondary-market-liquidity-diversity-and-capital-raising2022-08-30T19:08Znever https://www.findknowdo.com/news/02/08/2017/public-advocacy-groups-file-complaint-response-2-1-executive-order2021-06-21T15:58Znever https://www.findknowdo.com/news/02/09/2017/federal-register-sec-requests-comments-msrb-proposal-concerning-minimum-denominations2024-04-12T00:21Znever https://www.findknowdo.com/news/02/09/2017/federal-register-sec-requests-comments-finra-cat-plan-compliance-proposal2024-04-12T12:53Znever https://www.findknowdo.com/news/02/09/2017/cpos-settle-cftc-charges-registration-failure-and-related-violations2024-04-06T17:41Znever https://www.findknowdo.com/news/02/10/2017/u.s.-district-court-denies-motion-challenging-dol-fiduciary-rule2024-04-04T19:21Znever https://www.findknowdo.com/news/02/09/2017/isda-ceo-cautions-impending-variation-margin-deadline-could-pose-material-risk2021-01-15T00:20Znever https://www.findknowdo.com/news/02/10/2017/finra-requests-comment-proposed-amendments-rules-governing-communications-public2024-04-12T12:53Znever https://www.findknowdo.com/news/02/10/2017/federal-reserve-governor-tarullo-resigns2024-04-12T21:26Znever https://www.findknowdo.com/news/02/10/2017/finra-notifies-member-firms-sec-now-permits-electronic-filing-broker-dealer-and-otc-derivative-dealer-annual-reports2024-04-12T12:53Znever https://www.findknowdo.com/news/02/10/2017/cftc-grants-cpos-no-action-relief-certain-registration-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/02/10/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/13/2017/risk-desk-editor-explores-promise-fintech2024-04-06T17:41Znever https://www.findknowdo.com/news/02/13/2017/broker-dealer-settles-charges-information-barrier-deficiencies2021-02-01T20:06Znever https://www.findknowdo.com/news/02/13/2017/cftc-grants-variation-margin-grace-period-addresses-minimum-transfer-amounts-managed-accounts2024-04-06T17:41Znever https://www.findknowdo.com/news/02/14/2017/streetwise-professor-calls-thorough-review-dodd-frank-act2024-02-04T04:28Znever https://www.findknowdo.com/news/02/14/2017/steven-mnuchin-sworn-treasury-secretary2024-04-02T19:54Znever https://www.findknowdo.com/news/02/16/2017/firm-settles-sales-violations-concerning-single-inverse-exchange-traded-funds2021-01-25T23:09Znever https://www.findknowdo.com/news/02/14/2017/isda-ceo-urges-international-coordination-cftc-margin-grace-period2024-04-06T17:41Znever https://www.findknowdo.com/news/02/14/2017/cftc-commissioner-bowen-describes-four-disruptive-elements-driving-regulatory-activity2024-04-06T17:41Znever https://www.findknowdo.com/news/02/15/2017/federal-register-sec-approves-finra-proposal-conform-rules-shortened-settlement-cycle2024-04-12T12:53Znever https://www.findknowdo.com/news/02/15/2017/finra-expels-broker-dealer-finra-membership2024-04-12T12:53Znever https://www.findknowdo.com/news/02/15/2017/president-trump-signs-legislation-nullify-sec-resource-extraction-rule2021-06-21T12:52Znever https://www.findknowdo.com/news/02/15/2017/federal-register-sec-extends-security-based-swap-exemptions-one-year2020-12-14T08:25Znever https://www.findknowdo.com/news/02/15/2017/sec-obtains-settlements-two-cases-involving-disclosure-and-corporate-control2020-12-15T17:25Znever https://www.findknowdo.com/news/02/16/2017/federal-register-sec-investor-advisory-committee-hold-public-meeting2023-04-25T22:39Znever https://www.findknowdo.com/news/02/17/2017/finra-sets-effective-date-mark/mark-down-disclosure-requirements2024-04-12T12:53Znever https://www.findknowdo.com/news/02/17/2017/msrb-requests-comments-advertising-rules2024-04-12T00:21Znever https://www.findknowdo.com/news/02/16/2017/president-trump-chooses-new-nominee-labor-secretary2024-04-04T19:21Znever https://www.findknowdo.com/news/02/16/2017/appeals-court-revisit-ruling-declaring-cfpb-single-director-structure-unconstitutional2022-11-16T01:06Znever https://www.findknowdo.com/news/02/17/2017/nfa-appoints-new-general-counsel2024-04-05T19:36Znever https://www.findknowdo.com/news/02/17/2017/sec-and-nasaa-sign-information-sharing-mou-monitor-intrastate-exemptions2024-02-03T22:51Znever https://www.findknowdo.com/news/02/17/2017/independent-contractor-violates-broker-dealer-registration-requirements2020-12-15T06:34Znever https://www.findknowdo.com/news/02/17/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/21/2017/finra-proposes-technical-updates-consolidated-rulebook2024-04-12T12:53Znever https://www.findknowdo.com/news/02/21/2017/financial-stability-board-requests-comments-proposed-guidance-central-counterparty-resolution2024-01-31T02:34Znever https://www.findknowdo.com/news/02/22/2017/iosco-examines-risks-associated-loan-funds2021-01-24T05:21Znever https://www.findknowdo.com/news/02/21/2017/sec-and-nyu-host-crowdfunding-dialogue2021-02-01T20:31Znever https://www.findknowdo.com/news/02/21/2017/nfa-elects-officers-public-directors-and-executive-committee-members2024-04-05T19:36Znever https://www.findknowdo.com/news/02/22/2017/ny-financial-services-department-adopts-final-revisions-cybersecurity-requirements2022-11-22T15:23Znever https://www.findknowdo.com/news/02/27/2017/firm-settles-charges-supervisory-failures2024-04-12T12:53Znever https://www.findknowdo.com/news/02/22/2017/office-financial-research-proposes-central-counterparty-stress-testing-framework2024-01-31T02:34Znever https://www.findknowdo.com/news/02/23/2017/proposed-n.y.-budget-legislation-would-regulate-fintech-lending-market2024-09-23T18:48Zyearly https://www.findknowdo.com/news/02/23/2017/fincen-renews-real-estate-geographic-targeting-orders2024-04-02T18:52Znever https://www.findknowdo.com/news/02/23/2017/nfa-proposes-expansion-swap-dealer-reporting-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/02/23/2017/u.s.-and-european-authorities-address-industry-concerns-about-upcoming-variation-margin-deadline2024-04-12T21:36Znever https://www.findknowdo.com/news/02/23/2017/nfa-provides-guidance-amended-commodity-pool-operator-reporting-requirements2024-04-05T19:36Znever https://www.findknowdo.com/news/02/23/2017/sec-updates-guidance-robo-advisors2021-01-25T23:08Znever https://www.findknowdo.com/news/02/23/2017/federal-register-cfpb-reestablishes-consumer-advisory-board2024-04-12T17:10Znever https://www.findknowdo.com/news/02/24/2017/bcbs-updates-faqs-net-stable-funding-ratio2024-02-05T17:30Znever https://www.findknowdo.com/news/02/24/2017/sec-permits-requests-vacate-collateral-bars-based-pre-dodd-frank-conduct2020-12-15T04:30Znever https://www.findknowdo.com/news/02/24/2017/upcoming-sec-investor-advisory-committee-examine-investor-research-initiatives2023-04-25T22:38Znever https://www.findknowdo.com/news/02/24/2017/cftc-grants-no-action-relief-japanese-swap-dealers-certain-variation-margin-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/02/24/2017/representative-hensarling-puts-board-chair-yellen-notice-regarding-rulemaking2021-06-20T03:38Znever https://www.findknowdo.com/news/02/27/2017/finra-proposes-delay-tick-size-pilot-data-publication2024-04-12T12:53Znever https://www.findknowdo.com/news/02/27/2017/office-financial-research-academics-examine-procyclical-central-counterparty-margin-requirements2024-01-31T02:34Znever https://www.findknowdo.com/news/02/24/2017/sec-acting-chair-piwowar-says-sec-should-focus-forgotten-investor2021-06-20T03:36Znever https://www.findknowdo.com/news/02/24/2017/president-trump-signs-executive-order-require-regulatory-reform-task-forces2020-12-24T15:17Znever https://www.findknowdo.com/news/02/24/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/28/2017/reg.-tracker-march-1-through-march-152024-09-23T18:48Zyearly https://www.findknowdo.com/news/02/27/2017/cftc-commissioner-bowen-calls-greater-diversity2024-04-06T17:41Znever https://www.findknowdo.com/news/02/27/2017/finra-launches-academic-corporate-bond-trace-data-product2024-04-12T12:53Znever https://www.findknowdo.com/news/02/27/2017/sec-commissioner-stein-offers-vision-future2022-08-30T19:08Znever https://www.findknowdo.com/news/02/28/2017/cpmi-iosco-provide-technical-guidance-unique-transaction-identifiers2021-01-16T19:11Znever https://www.findknowdo.com/news/02/28/2017/msrb-fills-administrative-and-board-positions2024-04-12T00:21Znever https://www.findknowdo.com/news/02/28/2017/ny-financial-services-department-finalizes-first-nation-cybersecurity-rules2024-09-23T18:46Zyearly https://www.findknowdo.com/news/02/28/2017/isda-ceo-recognizes-regulators-providing-flexibility-meet-variation-margin-deadline2021-01-15T00:20Znever https://www.findknowdo.com/news/02/28/2017/financial-services-committee-chair-prepares-views-and-estimates-document-markup2020-12-24T15:13Znever https://www.findknowdo.com/news/03/01/2017/department-labor-proposes-60-day-delay-fiduciary-rule2024-04-04T19:21Znever https://www.findknowdo.com/news/03/01/2017/sec-releases-international-financial-reporting-standards-taxonomy2022-08-30T19:10Znever https://www.findknowdo.com/news/03/01/2017/republican-staff-rips-sifi-designation-process2021-06-21T15:59Znever https://www.findknowdo.com/news/03/01/2017/trade-associations-urge-cftc-revise-position-limits-reproposal2024-02-03T18:37Znever https://www.findknowdo.com/news/03/01/2017/sec-acting-chair-piwowar-and-commissioner-stein-face-regulation-crowdfunding2021-02-01T20:31Znever https://www.findknowdo.com/news/03/02/2017/federal-register-sec-requests-comments-finra-proposed-technical-updates-consolidated-rulebook2024-04-12T12:53Znever https://www.findknowdo.com/news/03/02/2017/msrb-requests-comments-draft-amendments-cusip-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/03/02/2017/nasaa-outlines-legislative-priorities-115th-congress2024-02-03T22:51Znever https://www.findknowdo.com/news/03/03/2017/sec-uses-satellite-imagery-catch-issuer-fraud2020-12-15T05:45Znever https://www.findknowdo.com/news/03/03/2017/sec-grants-limited-exemptive-relief-cat-nms-plan-clock-synchronization-requirements2022-12-31T13:33Znever https://www.findknowdo.com/news/03/03/2017/nfa-bars-cta-membership-failing-submit-business-conduct-examination2024-04-05T19:35Znever https://www.findknowdo.com/news/03/03/2017/new-trucking-futures-and-options-exchange-launch2024-02-04T04:28Znever https://www.findknowdo.com/news/03/03/2017/finra-proposes-masking-methodology-publication-certain-otc-trading-data2024-04-12T12:53Znever https://www.findknowdo.com/news/03/03/2017/sec-grants-foreign-issuer-relief-preliminary-proxy-statement-filing-requirement2020-01-20T19:04Znever https://www.findknowdo.com/news/03/03/2017/sec-requests-comment-bank-holding-company-statistical-disclosure-requirements2020-12-15T05:44Znever https://www.findknowdo.com/news/03/03/2017/sec-proposes-amendment-require-inline-xbrl-filing-tagged-data2020-12-03T05:07Znever https://www.findknowdo.com/news/03/03/2017/sec-proposes-expanding-certain-disclosure-requirements-municipal-security-issuers2024-02-05T01:50Znever https://www.findknowdo.com/news/03/03/2017/sec-adopts-final-amendments-requiring-hyperlinks-and-html-formatting-registration-filings2020-12-04T23:35Znever https://www.findknowdo.com/news/03/03/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/06/2017/msrb-publishes-2016-fact-book2024-04-12T00:21Znever https://www.findknowdo.com/news/03/06/2017/cftc-names-new-general-counsel2024-04-06T17:41Znever https://www.findknowdo.com/news/03/06/2017/frb-governor-powell-describes-challenges-real-time-payment-systems-and-blockchain-technology2024-04-12T21:26Znever https://www.findknowdo.com/news/03/06/2017/nfa-bars-cta-failing-submit-business-conduct-examination2024-04-05T19:35Znever https://www.findknowdo.com/news/03/07/2017/changes-expected-sec-enforcement-under-president-trump2024-09-23T23:16Zyearly https://www.findknowdo.com/news/03/07/2017/iosco-report-shows-liquidity-secondary-corporate-bond-market-not-decline2021-01-16T19:10Znever https://www.findknowdo.com/news/03/07/2017/federal-register-sec-requests-comments-bank-holding-company-statistical-disclosure-requirements2020-12-15T06:32Znever https://www.findknowdo.com/news/03/07/2017/senator-hatch-introduces-resolution-disapprove-dol-state-retirement-plan-rule2024-02-05T02:05Znever https://www.findknowdo.com/news/03/07/2017/cftc-grants-two-cpos-relief-certain-registration-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/03/08/2017/fdic-recaps-credit-trends-and-credit-risk-management2024-04-12T19:05Znever https://www.findknowdo.com/news/03/08/2017/msrb-establishes-criteria-firms-must-participate-business-continuity-testing2024-04-12T00:21Znever https://www.findknowdo.com/news/03/08/2017/president-trump-takes-executive-action-energy-infrastructure-projects2024-09-23T18:15Zyearly https://www.findknowdo.com/news/03/09/2017/sec-grants-exemptive-relief-certain-tender-offer-requirements2020-12-04T23:35Znever https://www.findknowdo.com/news/03/08/2017/nfa-proposes-amending-fcm-financial-practices-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/03/08/2017/finra-proposes-individual-registration-and-qualification-rules2024-04-12T12:53Znever https://www.findknowdo.com/news/03/09/2017/comptroller-currency-discusses-regulation-fintech2024-04-12T21:36Znever https://www.findknowdo.com/news/03/09/2017/sec-investor-advisory-committee-examines-investor-research-and-disclosure-initiatives2022-08-30T19:08Znever https://www.findknowdo.com/news/03/09/2017/finra-and-exchanges-provide-guidance-upcoming-clock-synchronization-requirements2024-04-13T15:46Znever https://www.findknowdo.com/news/03/10/2017/cftc-extends-conditional-masking-no-action-relief2024-04-06T17:41Znever https://www.findknowdo.com/news/03/10/2017/financial-services-committee-advances-six-capital-formation-bills2021-01-24T05:09Znever https://www.findknowdo.com/news/03/10/2017/house-members-ask-committee-preserve-tax-exempt-municipal-bonds2024-02-05T01:50Znever https://www.findknowdo.com/news/03/10/2017/ofr-analysts-examine-central-clearing-repos2024-01-31T02:34Znever https://www.findknowdo.com/news/03/10/2017/comptroller-reviews-regulatory-environment-community-banks-and-mutual-associations2024-04-12T21:36Znever https://www.findknowdo.com/news/03/10/2017/weekly-roundup-exchange-rules-category2020-12-15T02:24Znever https://www.findknowdo.com/news/03/15/2017/omb-issues-report-congress-cybersecurity-regulatory-agencies2021-03-20T16:46Znever https://www.findknowdo.com/news/03/14/2017/dol-issues-temporary-enforcement-policy-fiduciary-rule2024-04-04T19:21Znever https://www.findknowdo.com/news/03/14/2017/cftc-extends-comment-period-swap-dealer-capital-requirements-proposal2024-04-06T17:41Znever https://www.findknowdo.com/news/03/14/2017/trump-administration-endorses-congressional-resolutions-nullify-dol-savings-arrangement-rules2024-04-04T19:21Znever https://www.findknowdo.com/news/03/14/2017/fdic-vice-chair-proposes-partitioning-nonbanking-activities2024-04-12T19:05Znever https://www.findknowdo.com/news/03/14/2017/cftc-commissioner-bowen-talks-reg.-cybersecurity-governance-and-position-limits2024-04-06T17:41Znever https://www.findknowdo.com/news/03/14/2017/president-trump-calls-omb-director-reorganize-executive-branch2021-06-19T00:57Znever https://www.findknowdo.com/news/03/15/2017/president-trump-nominate-giancarlo-cftc-chair-announces-other-key-appointments2021-06-20T03:37Znever https://www.findknowdo.com/news/03/15/2017/federal-register-sec-requests-comments-proposed-amendments-municipal-securities-disclosure-requirements2024-02-05T01:50Znever https://www.findknowdo.com/news/03/15/2017/federal-register-sec-requests-comments-finra-proposed-masking-methodology2024-04-12T12:53Znever https://www.findknowdo.com/news/03/16/2017/sec-grants-financial-advisor-exemption-ineligible-issuer-status2021-01-25T23:08Znever https://www.findknowdo.com/news/03/15/2017/sec-and-national-bank-belgium-revise-cooperation-agreement2020-12-03T17:07Znever https://www.findknowdo.com/news/03/15/2017/occ-requests-comments-proposed-supplement-licensing-manual-fintech-charters2024-04-12T21:36Znever https://www.findknowdo.com/news/03/15/2017/acting-chair-giancarlo-asserts-new-direction-forward-cftc2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/03/16/2017/federal-register-cftc-extends-comment-period-swap-dealer-capital-requirements-proposal2024-04-06T17:41Znever https://www.findknowdo.com/news/03/16/2017/ofr-director-describes-initiative-reduce-regulatory-reporting-burden2022-07-27T19:43Znever https://www.findknowdo.com/news/03/16/2017/finra-warns-investors-about-binary-options-fraud-schemes2024-04-12T12:53Znever https://www.findknowdo.com/news/03/17/2017/federal-register-sec-requests-comment-proposed-amendment-require-inline-xbrl-filing-tagged-data2020-12-03T05:07Znever https://www.findknowdo.com/news/03/17/2017/federal-register-sec-adopts-final-amendments-requiring-hyperlinks-and-html-formatting-registration-filings2020-12-04T23:35Znever https://www.findknowdo.com/news/03/17/2017/cfpb-solicits-comment-consumer-remittance-rule-assessment2024-04-12T17:10Znever https://www.findknowdo.com/news/03/17/2017/weekly-roundup-exchange-rules-category2020-12-15T05:42Znever https://www.findknowdo.com/news/03/20/2017/house-democrats-urge-dol-implement-fiduciary-rule-schedule-and-without-delay2024-01-30T18:17Znever https://www.findknowdo.com/news/03/20/2017/finra-proposes-modifying-private-placement-filer-form2024-04-12T12:53Znever https://www.findknowdo.com/news/03/20/2017/doj-files-amicus-brief-asserting-president-trump-can-remove-cfpb-director2022-11-16T01:06Znever https://www.findknowdo.com/news/03/20/2017/nfa-urges-cftc-adopt-industry-recommendations-proposed-recordkeeping-amendments2024-04-05T19:35Znever https://www.findknowdo.com/news/03/21/2017/finra-undertakes-comprehensive-review-member-and-public-engagement-programs2024-04-12T12:53Znever https://www.findknowdo.com/news/03/21/2017/federal-register-sec-approves-finra-cat-plan-compliance-proposal2024-04-12T12:53Znever https://www.findknowdo.com/news/03/21/2017/banking-agencies-issue-joint-report-congress-financial-regulation2024-04-12T21:26Znever https://www.findknowdo.com/news/03/22/2017/sec-approves-shortened-settlement-cycle2021-12-01T21:20Znever https://www.findknowdo.com/news/03/22/2017/sec-staff-grants-reg.-m-exemption-rights-offering-bank2020-12-15T05:09Znever https://www.findknowdo.com/news/03/23/2017/finra-answers-questions-about-employee-trading-rule2024-04-12T12:53Znever https://www.findknowdo.com/news/03/23/2017/sec-offer-compliance-seminars-investment-companies-and-investment-advisers2022-08-30T19:10Znever https://www.findknowdo.com/news/03/23/2017/sec-guides-investors-t22020-12-15T05:54Znever https://www.findknowdo.com/news/03/23/2017/occ-quarterly-report-shows-bank-trading-revenue-increased-1.7-billion-20162024-04-12T21:36Znever https://www.findknowdo.com/news/03/23/2017/nominee-sec-chair-jay-clayton-testifies-senate-banking-committee2021-06-20T03:35Znever https://www.findknowdo.com/news/03/24/2017/cftc-extends-sef-relief-swap-trade-confirmation-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/03/24/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/24/2017/finra-explains-gasb-2017-accounting-support-fee2024-04-12T12:53Znever https://www.findknowdo.com/news/03/24/2017/domestic-banks-pass-fdic-and-frb-resolution-plan-evaluations2024-04-12T21:26Znever https://www.findknowdo.com/news/03/24/2017/fdic-chair-martin-gruenberg-assesses-current-state-anti-money-laundering-efforts2024-04-12T19:05Znever https://www.findknowdo.com/news/03/24/2017/nasaa-president-mike-rothman-testifies-impact-jobs-act-and-reg-a2024-02-03T22:51Znever https://www.findknowdo.com/news/03/27/2017/sec-acting-chair-michael-piwowar-encourages-special-study-securities-market-reform2019-12-31T23:18Znever https://www.findknowdo.com/news/03/27/2017/order-execution-and-clearing-firm-charged-aiding-and-abetting-manipulative-trading2024-04-10T20:55Znever https://www.findknowdo.com/news/03/27/2017/ofr-offers-approach-standardize-terms-and-formats-financial-instruments2024-01-31T02:34Znever https://www.findknowdo.com/news/03/27/2017/cftc-penalizes-dairy-company-acting-unregistered-fcm2024-04-06T17:41Znever https://www.findknowdo.com/news/03/28/2017/sec-acting-chair-piwowar-emphasizes-disclosure-regulation-capital-markets2020-12-04T23:35Znever https://www.findknowdo.com/news/03/28/2017/cftc-mrac-meeting-focus-ccps-cyber-trends-and-derivatives-markets2024-04-06T17:41Znever https://www.findknowdo.com/news/03/28/2017/streetwise-professor-criticizes-regulators-failure-grasp-otc-markets2024-02-04T04:28Znever https://www.findknowdo.com/news/03/28/2017/cftc-dmo-director-says-division-focus-market-intelligence-not-enforcement2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/03/28/2017/msrb-sets-t2-compliance-deadline2024-04-12T00:21Znever https://www.findknowdo.com/news/03/28/2017/finra-updates-api-specifications-trace-securitized-products2024-04-12T12:53Znever https://www.findknowdo.com/news/03/30/2017/finra-president-and-ceo-robert-cook-examines-self-interest-self-regulation2024-04-12T12:53Znever https://www.findknowdo.com/news/03/30/2017/financial-services-subcommittee-considers-impact-volcker-rule-capital-markets-%28-delta-strategy-group-summary%292021-02-01T19:39Znever https://www.findknowdo.com/news/03/29/2017/federal-register-sec-adopts-shortened-settlement-cycle2020-12-15T04:12Znever https://www.findknowdo.com/news/03/29/2017/frb-governor-jerome-powell-discusses-structure-federal-reserve-system2024-04-12T21:26Znever https://www.findknowdo.com/news/03/29/2017/bank-agrees-settle-class-action-suit-opening-unauthorized-accounts2021-06-21T16:00Znever https://www.findknowdo.com/news/03/29/2017/republican-senators-urge-treasury-secretary-end-too-big-fail-label-non-banks2021-06-21T19:43Znever https://www.findknowdo.com/news/03/30/2017/sec-approves-finra-rules-prevent-financial-exploitation-seniors2024-04-12T12:53Znever https://www.findknowdo.com/news/03/30/2017/nfa-leadership-discuss-recent-regulatory-initiatives-upcoming-webinar2024-04-05T19:35Znever https://www.findknowdo.com/news/03/31/2017/environmental-emissions-company-settles-negligent-reporting-charges2020-12-15T02:58Znever https://www.findknowdo.com/news/03/30/2017/cftc-permits-fcm-provide-clearing-services-covered-fund2024-04-06T17:41Znever https://www.findknowdo.com/news/03/30/2017/sec-names-deputy-chief-accountant2022-12-03T14:10Znever https://www.findknowdo.com/news/03/30/2017/sifma-solicits-industry-comment-draft-municipal-security-issue-price-model-documents2024-02-05T01:50Znever https://www.findknowdo.com/news/03/30/2017/finra-podcasts-focus-operational-risks-and-market-integrity2024-04-12T12:53Znever https://www.findknowdo.com/news/03/30/2017/cftc-acting-chair-giancarlo-proposes-a-change-priorities-cftc-names-new-enforcement-director2024-04-06T17:41Znever https://www.findknowdo.com/news/03/30/2017/senators-ask-sec-inspector-general-investigate-sec-acting-chair-piwowar2020-12-15T06:49Znever https://www.findknowdo.com/news/03/31/2017/traders-settle-cftc-charges-spoofing-and-related-compliance-violations2024-04-06T17:41Znever https://www.findknowdo.com/news/03/31/2017/iosco-approves-enhanced-cross-border-standards-exchanging-information-among-members2021-01-16T19:11Znever https://www.findknowdo.com/news/03/31/2017/emsac-examine-reg-nms-order-protection-rule-and-sro-rule-based-limitations2024-01-31T19:31Znever https://www.findknowdo.com/news/03/31/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/03/2017/federal-register-sec-requests-comments-finra-proposal-modify-private-placement-filer-form2024-04-12T12:53Znever https://www.findknowdo.com/news/04/03/2017/finra-updates-transparency-services-participant-agreement2024-04-12T12:53Znever https://www.findknowdo.com/news/04/03/2017/cftc-names-first-ever-chief-market-intelligence-officer2024-04-06T17:41Znever https://www.findknowdo.com/news/04/03/2017/nfa-updates-self-examination-questionnaire2024-04-05T19:35Znever https://www.findknowdo.com/news/04/03/2017/sec-extends-sdr-registration-compliance-date2024-01-31T03:13Znever https://www.findknowdo.com/news/04/03/2017/sec-waives-bad-actor-disqualification-dually-registered-investment-adviser-and-broker-dealer2021-01-25T23:09Znever https://www.findknowdo.com/news/04/03/2017/sec-adopts-technical-amendments-and-inflation-adjustments-implement-jobs-act-requirements2020-12-15T05:08Znever https://www.findknowdo.com/news/04/04/2017/federal-register-sec-requests-comments-msrb-proposal-establish-continuing-education-requirements-associated-persons2024-04-12T00:21Znever https://www.findknowdo.com/news/04/04/2017/cftc-grants-university-management-company-no-action-relief-cpo-and-cta-registration-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/04/04/2017/dol-extends-applicability-date-fiduciary-rule2024-04-04T19:21Znever https://www.findknowdo.com/news/04/04/2017/cfpb-issues-findings-2016-consumer-complaints2024-04-12T17:10Znever https://www.findknowdo.com/news/04/05/2017/sec-fcpa-unit-chief-leave-agency2023-06-10T15:19Znever https://www.findknowdo.com/news/04/05/2017/senators-urge-sec-reissue-resource-extraction-rule2020-12-04T23:35Znever https://www.findknowdo.com/news/04/05/2017/cftc-commissioner-sharon-bowen-calls-harmonizing-market-data-enforcement-and-clearing-regulation2024-04-06T17:41Znever https://www.findknowdo.com/news/04/05/2017/muni-bond-underwriter-settles-sec-fraud-charges2024-02-05T01:50Znever https://www.findknowdo.com/news/04/05/2017/gao-director-updates-senate-subcommittee-conflict-mineral-rule-disclosure2024-01-30T19:23Znever https://www.findknowdo.com/news/04/05/2017/federal-reserve-governor-daniel-tarullo-reconsiders-volcker-rule2024-04-12T21:26Znever https://www.findknowdo.com/news/04/05/2017/banking-agencies-issue-reminder-complete-q1-call-reports2024-04-12T21:36Znever https://www.findknowdo.com/news/04/06/2017/iosco-fsb-roundtable-focuses-securities-sector-compensation-practices2021-01-16T19:10Znever https://www.findknowdo.com/news/04/06/2017/cfpb-issues-semi-annual-report-receives-no-love2021-06-19T01:03Znever https://www.findknowdo.com/news/04/07/2017/democrats-call-treasury-secretary-focus-cybersecurity2021-03-20T16:46Znever https://www.findknowdo.com/news/04/07/2017/finra-outlines-certain-equity-trade-reporting-requirements2024-04-12T12:53Znever https://www.findknowdo.com/news/04/07/2017/finra-updates-trace-data-feed-specifications2024-04-12T12:52Znever https://www.findknowdo.com/news/04/07/2017/finra-updates-regulatory-extension-system-t2-settlement-cycle2024-04-12T12:52Znever https://www.findknowdo.com/news/04/07/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/10/2017/fincen-updates-list-jurisdictions-aml/cft-regime-deficiencies2024-04-02T18:52Znever https://www.findknowdo.com/news/04/10/2017/finra-revises-sanction-guidelines2024-04-12T12:52Znever https://www.findknowdo.com/news/04/10/2017/sec-exempts-indian-company-certain-tender-offer-requirements2020-01-20T19:04Znever https://www.findknowdo.com/news/04/10/2017/sec-files-27-cases-concerning-fraudulent-promotion-stocks2020-12-15T06:44Znever https://www.findknowdo.com/news/04/11/2017/cftc-mrac-agenda-spotlights-ccps-cyber-trends-and-derivatives-markets2024-04-06T17:41Znever https://www.findknowdo.com/news/04/11/2017/finra-reminds-firms-about-trace-reporting-treasuries2024-04-12T12:52Znever https://www.findknowdo.com/news/04/11/2017/nfa-advises-firms-revise-aml/cft-programs-reflect-fatf-updates2024-04-05T19:35Znever https://www.findknowdo.com/news/04/11/2017/cftc-permits-transfer-u.s.-customer-collateral-foreign-fcm-foreign-futures2024-04-06T17:41Znever https://www.findknowdo.com/news/04/11/2017/wells-fargo-issues-report-independent-investigators-retail-sales-practices2021-06-21T19:50Znever https://www.findknowdo.com/news/04/12/2017/federal-register-sec-technical-amendments-concerning-emerging-growth-companies-are-now-effect2020-12-15T03:32Znever https://www.findknowdo.com/news/04/12/2017/report-repo-market-financing-raises-concerns2024-02-05T17:30Znever https://www.findknowdo.com/news/04/12/2017/cme-group-close-cme-europe-and-cme-clearing-europe-year-end2024-04-05T18:43Znever https://www.findknowdo.com/news/04/12/2017/cftc-names-director-office-legislative-affairs2024-04-06T17:41Znever https://www.findknowdo.com/news/04/12/2017/finra-examines-rules-may-inhibit-capital-formation2024-04-12T12:52Znever https://www.findknowdo.com/news/04/12/2017/sec-grants-etf-exemption-tender-offer-rules2021-01-24T03:18Znever https://www.findknowdo.com/news/04/13/2017/cftc-grants-relief-cpo-five-person-pool-annual-reporting-requirement2024-04-06T17:41Znever https://www.findknowdo.com/news/04/13/2017/republican-senators-question-irs-distribution-cfpb-flyers2021-06-19T01:01Znever https://www.findknowdo.com/news/04/13/2017/occ-adds-retail-lending-section-comptrollers-handbook2024-04-12T21:36Znever https://www.findknowdo.com/news/04/13/2017/fdic-vice-chair-blames-low-bank-profitability-debt/equity-ratio2024-04-12T19:05Znever https://www.findknowdo.com/news/04/13/2017/ccp-risk-profiles-are-unique-say-chicago-fed-analysts2024-04-12T21:26Znever https://www.findknowdo.com/news/04/14/2017/house-republicans-label-cfpb-affront-constitution-urge-passage-choice-act2020-12-24T15:29Znever https://www.findknowdo.com/news/04/14/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/17/2017/president-signs-joint-resolution-nullifying-dol-safe-harbor-rule-government-run-iras2024-04-04T19:20Znever https://www.findknowdo.com/news/04/17/2017/sec-gives-clearing-agencies-additional-time-comply-resolution-rules2024-01-31T02:34Znever https://www.findknowdo.com/news/04/17/2017/cftc-grants-relief-derivatives-clearing-organization-certain-annual-reporting-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/04/17/2017/cfpb-fair-lending-report-summarizes-remediation-results-and-priorities2024-04-12T17:10Znever https://www.findknowdo.com/news/04/18/2017/dtcc-reports-handling-1.5-quadrillion-financial-transactions-20162024-04-09T15:05Znever https://www.findknowdo.com/news/04/18/2017/cftc-staff-extends-margin-relief-emir-regulated-swap-dealers2024-04-06T17:41Znever https://www.findknowdo.com/news/04/18/2017/msrb-names-new-cfo2024-04-12T00:21Znever https://www.findknowdo.com/news/04/18/2017/sec-approves-minor-rule-violation-plan-ise-mercury-llc2020-12-15T04:53Znever https://www.findknowdo.com/news/04/18/2017/treasury-issues-report-currency-practices-major-trading-partners2024-04-02T19:54Znever https://www.findknowdo.com/news/04/19/2017/streetwise-professor-urges-caution-any-review-sec-order-protection-rule2024-02-04T04:28Znever https://www.findknowdo.com/news/04/19/2017/sec-extends-comment-period-bank-holding-company-statistical-disclosure-requirements2020-12-15T04:32Znever https://www.findknowdo.com/news/04/19/2017/gao-reports-fintech2024-01-30T19:23Znever https://www.findknowdo.com/news/04/20/2017/cfpb-delays-effective-date-rules-enhancing-consumer-protections-prepaid-accounts2024-04-12T17:10Znever https://www.findknowdo.com/news/04/20/2017/cftc-grants-registration-london-based-swap-execution-facility2024-04-06T17:41Znever https://www.findknowdo.com/news/04/20/2017/cftc-exempts-cpo-annual-filing-and-reporting-requirements2024-04-06T17:41Znever https://www.findknowdo.com/news/04/20/2017/house-republicans-release-revised-choice-act2021-06-21T16:28Znever https://www.findknowdo.com/news/04/20/2017/frb-governor-jerome-powell-applauds-aggressive-response-financial-crisis-calls-some-adjustments2024-04-12T21:26Znever https://www.findknowdo.com/news/04/21/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/21/2017/sec-grants-exemption-closed-end-investment-company-certain-registration-fees2021-01-24T01:50Znever https://www.findknowdo.com/news/04/21/2017/cftc-requests-comment-collection-swap-transaction-and-pricing-data2024-04-06T17:41Znever https://www.findknowdo.com/news/04/21/2017/finra-extends-comment-period-comprehensive-review-member-and-public-engagement-programs2024-04-12T12:52Znever https://www.findknowdo.com/news/04/21/2017/finra-releases-modified-private-placement-filer-form2024-04-12T12:52Znever https://www.findknowdo.com/news/04/21/2017/federal-reserve-fines-foreign-bank-volcker-and-fx-violations2024-04-12T21:26Znever https://www.findknowdo.com/news/04/21/2017/president-trump-directs-treasury-secretary-reconsider-two-dodd-frank-authorities2021-06-19T00:52Znever https://www.findknowdo.com/news/04/24/2017/federal-register-sec-extends-comment-period-bank-holding-company-statistical-disclosure-requirements2020-12-15T05:57Znever https://www.findknowdo.com/news/04/24/2017/cftc-publishes-2016-schedule-fees-oversight-sros2024-04-06T17:41Znever https://www.findknowdo.com/news/04/24/2017/executives-hungarian-telecom-company-settle-fcpa-charges2023-06-10T15:19Znever https://www.findknowdo.com/news/04/25/2017/cftc-grants-relief-improve-cta-recordkeeping-efficiency2024-04-06T17:41Znever https://www.findknowdo.com/news/04/25/2017/cftc-adds-names-foreign-entities-red-list2024-04-06T17:41Znever https://www.findknowdo.com/news/04/25/2017/fdic-and-federal-reserve-board-give-ok-bank-resolution-plan2024-04-12T21:26Znever https://www.findknowdo.com/news/04/25/2017/nasaa-hold-training-program-elder-abuse2024-02-03T22:51Znever https://www.findknowdo.com/news/04/25/2017/former-broker-charged-suitability-violations-and-misappropriating-customer-funds2021-01-24T03:18Znever https://www.findknowdo.com/news/04/28/2017/ny-fed-bank-president-says-its-time-evaluate-post-crisis-regulatory-regime-questions-effectiveness-volcker-rule2024-04-12T21:26Znever https://www.findknowdo.com/news/04/26/2017/finra-offers-guidance-rules-concerning-digital-communications2024-04-12T12:52Znever https://www.findknowdo.com/news/04/27/2017/occ-fines-bank-bankruptcy-filing-violations2024-04-12T21:36Znever https://www.findknowdo.com/news/04/26/2017/nasaa-warns-financial-choice-act-moves-wrong-direction2024-02-05T01:57Znever https://www.findknowdo.com/news/04/26/2017/sifma-executive-applauds-sec-equity-market-structure-review-restates-reform-recommendations2026-04-15T21:22Zyearly https://www.findknowdo.com/news/04/26/2017/sec-charges-portfolio-manager-improper-proprietary-trading2021-01-24T04:31Znever https://www.findknowdo.com/news/04/27/2017/finra-proposes-amendments-expedite-arbitration-proceedings2024-04-12T12:52Znever https://www.findknowdo.com/news/04/27/2017/sec-provides-relief-broker-dealers-regarding-etf-creations-and-redemptions-under-reg.-sho2021-01-24T03:18Znever https://www.findknowdo.com/news/04/27/2017/state-banking-regulators-take-occ-court-over-fintech-charters2024-04-12T21:36Znever https://www.findknowdo.com/news/04/27/2017/gao-reviews-company-disclosures-related-conflict-minerals2024-01-30T19:23Znever https://www.findknowdo.com/news/04/28/2017/cftc-adopts-revised-form-8-r2024-04-06T17:40Znever https://www.findknowdo.com/news/04/28/2017/finra-proposes-delay-publication-certain-data-related-reg-nms-tick-size-pilot-program2024-04-12T12:52Znever https://www.findknowdo.com/news/04/28/2017/weekly-roundup-exchange-rules-category2020-12-27T19:38Znever https://www.findknowdo.com/news/05/01/2017/cftc-provides-guidance-markets-calculating-dcm-and-sef-operating-costs2024-04-06T17:40Znever https://www.findknowdo.com/news/05/01/2017/sec-exempts-reit-certain-tender-offer-requirements2020-12-04T23:35Znever https://www.findknowdo.com/news/05/01/2017/mfa-and-aima-urge-cftc-drop-reg.2024-02-03T18:37Znever https://www.findknowdo.com/news/05/02/2017/occ-names-new-deputy-comptrollers2024-04-12T21:36Znever https://www.findknowdo.com/news/05/02/2017/sec-grants-exemptions-relating-data-publication-requirements-tick-size-pilot2020-12-15T02:25Znever https://www.findknowdo.com/news/05/02/2017/fdic-publishes-handbook-organizers-new-depository-institutions2024-04-12T19:05Znever https://www.findknowdo.com/news/05/02/2017/frb-governor-brainard-examines-unique-challenges-fintech-poses-banks2024-04-12T21:36Znever https://www.findknowdo.com/news/05/03/2017/senate-confirms-jay-clayton-sec-chair2020-12-24T13:12Znever https://www.findknowdo.com/news/05/03/2017/finra-recaps-key-regulatory-notices-monthly-podcast2024-04-12T12:52Znever https://www.findknowdo.com/news/05/03/2017/finra-elect-a-governor-special-meeting2026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/03/2017/nfa-fines-cpo/cta-1-million-prohibited-loans-and-disclosure-violations2024-04-05T19:35Znever https://www.findknowdo.com/news/05/03/2017/company-insider-receives-whistleblower-award-exceeding-5000002024-01-30T02:46Znever https://www.findknowdo.com/news/05/03/2017/sec-finra-announce-national-compliance-outreach-program-broker-dealers2024-04-12T12:52Znever https://www.findknowdo.com/news/05/03/2017/comptroller-currency-steps-down-expresses-occs-continuing-commitment-innovation2024-04-12T21:36Znever https://www.findknowdo.com/news/05/03/2017/cftc-proposes-amending-rules-governing-chief-compliance-officer-duties-and-certain-annual-reports2024-04-06T17:40Znever https://www.findknowdo.com/news/05/04/2017/house-passes-fair-access-investment-research-act-20172021-01-24T03:18Znever https://www.findknowdo.com/news/05/04/2017/sec-approves-quadruple-leveraged-etfs2024-04-11T22:09Znever https://www.findknowdo.com/news/05/04/2017/cftc-solicits-comments-kiss-initiative2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/05/04/2017/sec-waives-bad-actor-disqualification-bank2020-12-15T04:50Znever https://www.findknowdo.com/news/05/04/2017/msrb-issues-guidance-solicitor-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/05/04/2017/sec-announces-technical-changes-forms-adv-adv-w2022-11-13T21:20Znever https://www.findknowdo.com/news/05/04/2017/occ-appoints-new-members-mutual-savings-association-advisory-committee2024-04-12T21:36Znever https://www.findknowdo.com/news/05/05/2017/cco-money-transfer-company-settles-case-involving-aml-compliance-failures2024-04-02T18:52Znever https://www.findknowdo.com/news/05/05/2017/cftc-chief-market-intelligence-officer-describes-new-role-wants-infuse-policymaking-better-market-analysis2024-02-04T04:28Znever https://www.findknowdo.com/news/05/05/2017/sec-proposes-expanding-registration-exemptions-investment-advisers2023-02-15T18:46Znever https://www.findknowdo.com/news/05/05/2017/supreme-court-makes-it-official-jay-clayton-becomes-sec-chair2021-01-16T00:24Znever https://www.findknowdo.com/news/05/05/2017/sec-issues-investor-bulletin-crowdfunding-limits-increase2021-01-20T14:12Znever https://www.findknowdo.com/news/05/05/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/08/2017/federal-register-cftc-proposes-amending-rules-governing-chief-compliance-officer-duties-and-annual-report-requirements2024-04-06T17:40Znever https://www.findknowdo.com/news/05/08/2017/occ-publishes-revised-sections-comptrollers-licensing-manual2024-04-12T21:36Znever https://www.findknowdo.com/news/05/08/2017/sec-advisory-committee-consider-capital-raising-activities-small-issuers2020-12-15T05:20Znever https://www.findknowdo.com/news/05/08/2017/finra-proposes-tiered-fee-schedule-part-cat-nms-plan2024-04-12T12:52Znever https://www.findknowdo.com/news/05/08/2017/msrb-reminder-series-50-exam-deadline-approaching2024-04-12T00:21Znever https://www.findknowdo.com/news/05/09/2017/federal-register-cftc-solicits-comments-kiss-initiative2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/05/09/2017/federal-register-sec-makes-technical-changes-forms-adv-adv-w2022-11-13T21:36Znever https://www.findknowdo.com/news/05/09/2017/sec-provides-guidance-adult-protective-service-workers-senior-investor-fraud2020-12-15T03:01Znever https://www.findknowdo.com/news/05/09/2017/sec-issues-investor-bulletin-crowdfunding-security-called-safe2021-01-20T14:12Znever https://www.findknowdo.com/news/05/09/2017/sec-charges-former-employee-securities-fraud2020-12-15T06:58Znever https://www.findknowdo.com/news/05/09/2017/house-financial-services-committee-approves-choice-act-%28-delta-strategy-group-overview%292020-12-15T06:53Znever https://www.findknowdo.com/news/05/09/2017/nasaa-touts-use-model-fee-disclosure-schedule2024-02-03T22:51Znever https://www.findknowdo.com/news/05/10/2017/cftc-acting-chair-examines-global-swaps-market-challenges2024-04-06T17:40Znever https://www.findknowdo.com/news/05/10/2017/sec-names-new-director-division-corporation-finance2021-01-05T17:48Znever https://www.findknowdo.com/news/05/11/2017/sec-commissioner-michael-piwowar-opens-state-u.s.-ipo-market2020-12-15T06:45Znever https://www.findknowdo.com/news/05/10/2017/sec-orders-firm-pay-refunds-overcharging-clients2022-08-30T19:10Znever https://www.findknowdo.com/news/05/10/2017/nasaa-adopts-policy-electronic-offering-documents-and-electronic-signatures2024-02-03T22:51Znever https://www.findknowdo.com/news/05/10/2017/sec-commissioner-describes-new-regulatory-challenges-capital-raising2021-01-20T14:12Znever https://www.findknowdo.com/news/05/11/2017/sec-advisory-committee-debates-capital-raising-activities-small-issuers2020-12-15T05:18Znever https://www.findknowdo.com/news/05/11/2017/sec-commissioner-kara-stein-reflects-cybersecurity-data-analytics2021-03-20T16:47Znever https://www.findknowdo.com/news/05/11/2017/finra-issue-proposals-supervision-and-discipline-high-risk-brokers2024-04-12T12:52Znever https://www.findknowdo.com/news/05/11/2017/sec-names-new-chief-staff2019-12-19T22:30Znever https://www.findknowdo.com/news/05/11/2017/finra-details-rule-changes-affected-t2-settlement-cycle2024-04-12T12:52Znever https://www.findknowdo.com/news/05/12/2017/fdic-vice-chair-urges-partitioning-nonbanking-activities2024-04-12T19:05Znever https://www.findknowdo.com/news/05/12/2017/president-trump-orders-cybersecurity-reforms2021-06-19T00:48Znever https://www.findknowdo.com/news/05/12/2017/finra-proposes-faster-release-historic-trading-data2024-04-12T12:52Znever https://www.findknowdo.com/news/05/12/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/17/2017/cftc-chief-staff-describes-approach-leading-kiss-initiative2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/05/15/2017/sec-charges-former-traders-fraudulent-trading-cmbs2020-12-15T05:59Znever https://www.findknowdo.com/news/05/15/2017/nfa-willing-review-internal-risk-models-under-cftc-swap-dealer-proposal2024-04-05T19:35Znever https://www.findknowdo.com/news/05/15/2017/finra-requests-comments-rules-relating-member-firm-employees-outside-activities2024-04-12T12:52Znever https://www.findknowdo.com/news/05/15/2017/sec-names-general-counsel-chief-counsel-and-deputy-chief-staff2019-12-19T22:30Znever https://www.findknowdo.com/news/05/16/2017/sec-grants-no-action-relief-certain-tender-offer-requirements2021-01-24T01:17Znever https://www.findknowdo.com/news/05/16/2017/cftc-extends-registration-relief-chinese-derivatives-clearing-organization2024-04-06T17:40Znever https://www.findknowdo.com/news/05/16/2017/finra-proposes-phase-out-oats-cat-comes-line2024-04-12T12:52Znever https://www.findknowdo.com/news/05/16/2017/sec-publishes-investor-bulletin-crowdfunding2021-01-20T14:12Znever https://www.findknowdo.com/news/05/16/2017/finra-requests-extension-tier-size-pilot-program2024-04-12T12:52Znever https://www.findknowdo.com/news/05/17/2017/msrb-institute-continuing-education-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/05/17/2017/cftc-launches-fintech-innovation-initiative2024-04-06T17:40Znever https://www.findknowdo.com/news/05/19/2017/finra-ceo-robert-cook-pushes-organizational-change2024-04-12T12:52Znever https://www.findknowdo.com/news/05/18/2017/finra-updates-crowdfunding-bulletin2024-04-12T12:52Znever https://www.findknowdo.com/news/05/18/2017/sec-reconsider-decision-approving-quadruple-leveraged-etfs2021-01-24T02:01Znever https://www.findknowdo.com/news/05/18/2017/finra-proposes-offering-end-day-trace-report2024-04-12T12:52Znever https://www.findknowdo.com/news/05/19/2017/hedge-fund-settles-insider-trading-charges2021-01-24T05:23Znever https://www.findknowdo.com/news/05/19/2017/mfa-outlines-regulatory-priorities2021-06-19T00:47Znever https://www.findknowdo.com/news/06/05/2017/sifma-host-credit-margin-conference2021-06-21T16:30Znever https://www.findknowdo.com/news/05/19/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/22/2017/finra-warns-investors-about-crowdfunding-offerings-safes2024-04-13T15:46Znever https://www.findknowdo.com/news/05/22/2017/cftc-amends-rules-protect-whistleblowers2024-04-06T17:40Znever https://www.findknowdo.com/news/05/23/2017/finra-elects-governor-announces-upcoming-election2024-04-12T12:52Znever https://www.findknowdo.com/news/05/23/2017/federal-judge-penalizes-firm-illegal-exchange-precious-metals-transactions2024-04-06T17:40Znever https://www.findknowdo.com/news/05/23/2017/cftc-commissioner-sharon-bowen-criticizes-2018-budget-request2024-04-06T17:40Znever https://www.findknowdo.com/news/05/23/2017/sec-grants-waiver-disqualification-hedge-fund2021-01-24T05:23Znever https://www.findknowdo.com/news/05/23/2017/labor-department-will-no-longer-delay-implementation-fiduciary-rule2024-04-04T19:20Znever https://www.findknowdo.com/news/05/23/2017/occ-updates-guidance-detection-and-correction-bank-violations2024-04-12T21:36Znever https://www.findknowdo.com/news/05/24/2017/cftc-modernizes-recordkeeping-requirements2024-04-06T17:40Znever https://www.findknowdo.com/news/05/24/2017/sec-and-msrb-hold-joint-webinar-series-50-exam2024-04-12T00:21Znever https://www.findknowdo.com/news/05/24/2017/occ-names-new-senior-deputy-comptroller-economics2024-04-12T21:36Znever https://www.findknowdo.com/news/05/24/2017/fdic-releases-quarterly-report-summarizing-financial-results-covered-institutions2024-04-12T19:05Znever https://www.findknowdo.com/news/05/24/2017/sec-charges-government-employee-and-political-intelligence-consultant-insider-trading2020-12-15T03:53Znever https://www.findknowdo.com/news/05/25/2017/sec-names-managing-executive2019-04-03T18:56Znever https://www.findknowdo.com/news/05/25/2017/sec-investor-advisory-committee-discuss-capital-formation-and-decline-ipos2023-04-25T22:38Znever https://www.findknowdo.com/news/05/29/2017/cfpb-assess-effectiveness-ability-repay/qualified-mortgage-rule2024-04-12T17:10Znever https://www.findknowdo.com/news/05/29/2017/msrb-proposes-update-customer-account-transfer-rule2024-04-12T00:21Znever https://www.findknowdo.com/news/05/29/2017/nfa-proposes-guidance-swap-valuation-dispute-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/05/29/2017/new-study-shows-post-crisis-regulations-hurt-bond-liquidity2020-12-15T02:56Znever https://www.findknowdo.com/news/05/29/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/30/2017/federal-register-cftc-amends-rules-protect-whistleblowers2024-04-06T17:40Znever https://www.findknowdo.com/news/05/30/2017/federal-register-cftc-updates-recordkeeping-requirements2024-04-06T17:40Znever https://www.findknowdo.com/news/05/30/2017/cftc-extends-relief-sefs-and-dcms-fix-trade-confirmation-errors2024-04-06T17:40Znever https://www.findknowdo.com/news/05/30/2017/frb-fines-bank-aml-compliance-violations2024-04-12T21:25Znever https://www.findknowdo.com/news/05/31/2017/nfa-institute-new-monthly-risk-reporting-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/10/16/2009/cftc-enforcement-program-files-25-more-cases-during-fiscal-year-2009-prior-fiscal-year2024-04-06T18:12Znever https://www.findknowdo.com/news/10/05/2010/cftc-enforcement-program-filings-increase-14-percent-fiscal-year-20102024-04-06T18:10Znever https://www.findknowdo.com/news/05/31/2017/frb-amends-rules-fund-availability-and-check-collection2024-04-12T21:25Znever https://www.findknowdo.com/news/05/31/2017/banking-agencies-issue-advisory-appraiser-shortages2024-04-12T21:36Znever https://www.findknowdo.com/news/05/31/2017/nasaa-roundtable-address-cyber-developments-advisers-and-bds2024-02-03T22:51Znever https://www.findknowdo.com/news/06/01/2017/gao-issues-report-critical-fdic-information-security-controls2020-12-15T04:29Znever https://www.findknowdo.com/news/05/31/2017/sec-adjusts-securities-transaction-fee-rates2020-12-15T05:52Znever https://www.findknowdo.com/news/05/31/2017/ffiec-updates-cybersecurity-assessment-tool2022-10-28T12:30Znever https://www.findknowdo.com/news/06/01/2017/cftc-market-risk-advisory-committee-discuss-ccp-risk-surveillance2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/01/2017/federal-judge-penalizes-firm-exchange-precious-metals-transactions2024-04-06T17:40Znever https://www.findknowdo.com/news/06/01/2017/finra-bars-securities-trader-violating-firm-prohibited-bond-transactions2024-04-12T12:52Znever https://www.findknowdo.com/news/06/01/2017/economists-say-fed-report-shows-improved-bank-loan-portfolio-performance2024-04-12T21:25Znever https://www.findknowdo.com/news/06/02/2017/finra-amends-reporting-rules-and-forms-support-compliance-dol-fiduciary-rule2024-04-12T12:52Znever https://www.findknowdo.com/news/06/02/2017/cftc-bans-trader-spoofing-and-other-manipulative-trading-activities2024-04-06T17:40Znever https://www.findknowdo.com/news/06/02/2017/sec-chair-asks-input-ia-and-bd-conduct-standards2020-12-15T06:56Znever https://www.findknowdo.com/news/06/02/2017/msrb-re-proposes-changes-cusip-number-requirements2024-04-12T00:21Znever https://www.findknowdo.com/news/06/02/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/05/2017/cftc-sues-foreign-firm-operating-unregistered-foreign-exchange-broker2024-04-06T17:40Znever https://www.findknowdo.com/news/06/06/2017/supreme-court-rules-sec-disgorgement-claims-are-time-limited2021-01-16T00:24Znever https://www.findknowdo.com/news/06/05/2017/sec-charges-brokerage-firm-aml-violations2023-06-04T13:02Znever https://www.findknowdo.com/news/06/05/2017/federal-register-fhfa-issues-final-rule-amending-fhlb-membership-certain-state-chartered-credit-unions2022-10-28T12:41Znever https://www.findknowdo.com/news/06/06/2017/finra-releases-monthly-podcast2024-04-12T12:52Znever https://www.findknowdo.com/news/06/06/2017/sec-extends-exemptive-relief-regulation-nms-sub-penny-rule2022-12-31T20:02Znever https://www.findknowdo.com/news/06/06/2017/sifma-evp-describes-influence-fintech-innovation-capital-markets2021-01-13T20:58Znever https://www.findknowdo.com/news/06/06/2017/occ-publishes-revised-bank-termination-section-comptrollers-licensing-manual2024-04-12T21:36Znever https://www.findknowdo.com/news/06/07/2017/dol-debate-fiduciary-rule-continues2020-12-15T06:54Znever https://www.findknowdo.com/news/06/07/2017/fdic-adopts-occ/frb-guidance-model-risk-management2024-04-12T19:04Znever https://www.findknowdo.com/news/06/08/2017/finra-reminds-members-rule-changes-disruptive-trading-and-quoting-activity2024-04-12T12:52Znever https://www.findknowdo.com/news/06/07/2017/finra-bars-registered-representative-concealing-outside-activities2024-04-12T12:52Znever https://www.findknowdo.com/news/06/07/2017/frb-grants-volcker-rule-conformance-extension-three-banks2024-04-12T21:25Znever https://www.findknowdo.com/news/06/07/2017/occ-releases-faqs-third-party-relationships2024-04-12T21:36Znever https://www.findknowdo.com/news/06/08/2017/finra-proposes-cat-fee-dispute-resolution-procedures2024-04-12T12:52Znever https://www.findknowdo.com/news/06/08/2017/cftc-acting-chair-giancarlo-defends-budget-proposal2024-04-06T17:40Znever https://www.findknowdo.com/news/06/08/2017/sec-chief-accountant-emphasizes-importance-auditor-independence2020-12-15T03:23Znever https://www.findknowdo.com/news/06/09/2017/finra-economists-report-mixed-progress-securitized-asset-liquidity2024-04-12T12:51Znever https://www.findknowdo.com/news/06/08/2017/sec-names-co-directors-enforcement2020-12-15T05:44Znever https://www.findknowdo.com/news/06/09/2017/cftc-staff-grants-relief-dco-expedite-vacation-registration2024-04-06T17:40Znever https://www.findknowdo.com/news/06/09/2017/occ-reminds-banks-prepare-t2-settlement-cycle2024-04-12T21:36Znever https://www.findknowdo.com/news/06/09/2017/cftc-grants-relief-cpos-annual-report-filing-requirements2024-04-06T17:40Znever https://www.findknowdo.com/news/06/09/2017/mfa-submits-regulatory-recommendations-cftc2026-06-20T13:38Zmonthly https://www.findknowdo.com/news/06/09/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/12/2017/house-representatives-passes-financial-choice-act2020-12-15T03:16Znever https://www.findknowdo.com/news/06/12/2017/sec-chief-accountant-highlights-contribution-academic-research-policymaking2020-12-15T03:09Znever https://www.findknowdo.com/news/06/12/2017/finra-sets-implementation-date-new-trace-reporting-modifiers2024-04-12T12:51Znever https://www.findknowdo.com/news/06/13/2017/sec-cftc-decline-issue-interpretation-classification-a-reinsurance-participation-agreement2024-04-06T17:40Znever https://www.findknowdo.com/news/06/13/2017/finra-launches-fintech-focused-outreach-initiative2024-04-12T12:51Znever https://www.findknowdo.com/news/06/13/2017/treasury-gets-specific-recommends-significant-regulatory-reform2024-04-02T19:54Znever https://www.findknowdo.com/news/06/13/2017/iosco-issues-report-minimizing-risks-misconduct-wholesale-markets2021-01-16T19:11Znever https://www.findknowdo.com/news/06/13/2017/cftc-names-director-office-public-affairs2024-04-06T17:40Znever https://www.findknowdo.com/news/06/14/2017/federal-court-penalizes-firm-exchange-precious-metals-transactions2024-04-06T17:40Znever https://www.findknowdo.com/news/06/14/2017/finra-seeks-extend-cds-margin-pilot-program2024-04-12T12:51Znever https://www.findknowdo.com/news/06/14/2017/federal-register-treasury-asks-public-help-reduce-regulatory-burdens2024-04-02T19:54Znever https://www.findknowdo.com/news/06/14/2017/sec-investor-advisory-committee-focus-capital-formation-upcoming-meeting2023-04-25T22:37Znever https://www.findknowdo.com/news/06/14/2017/senate-ag-committee-discuss-giancarlo-nomination2020-12-15T03:06Znever https://www.findknowdo.com/news/06/15/2017/nasaa-encourages-senior-investor-protection2024-02-03T22:51Znever https://www.findknowdo.com/news/06/15/2017/federal-register-irs-reissues-centralized-partnership-audit-regulations2024-04-04T18:52Znever https://www.findknowdo.com/news/06/15/2017/cfpb-proposes-amendments-prepaid-card-accounts-rule2024-04-12T17:10Znever https://www.findknowdo.com/news/06/15/2017/sec-names-new-associate-director-technology-controls-program2022-08-30T19:08Znever https://www.findknowdo.com/news/06/16/2017/bitcoin-exchanges-targeted-cyberattacks2021-03-20T16:47Znever https://www.findknowdo.com/news/06/16/2017/nasaa-hold-conference-cybersecurity2024-02-03T22:51Znever https://www.findknowdo.com/news/06/16/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/16/2017/fdic-names-new-director-office-ombudsman2024-04-12T19:04Znever https://www.findknowdo.com/news/06/19/2017/speaker-ryan-outline-tax-reform-plan2021-06-20T03:23Znever https://www.findknowdo.com/news/06/19/2017/msrb-states-its-strategic-goals2024-04-12T00:21Znever https://www.findknowdo.com/news/06/19/2017/occ-publishes-guidance-amendments-bank-organizational-documents2024-04-12T21:36Znever https://www.findknowdo.com/news/06/19/2017/occ-office-innovation-meet-banks-and-fintech-companies2024-04-12T21:36Znever https://www.findknowdo.com/news/06/19/2017/iosco-says-no-further-order-routing-reforms-needed-now2021-02-01T19:45Znever https://www.findknowdo.com/news/06/20/2017/finra-proposes-expand-trace-security-specific-reporting2024-04-12T12:51Znever https://www.findknowdo.com/news/06/20/2017/cftc-market-risk-advisory-committee-examines-ccp-regulation2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/20/2017/cftc-commissioner-sharon-bowen-step-down2024-04-06T17:40Znever https://www.findknowdo.com/news/06/20/2017/federal-register-cftc-revises-freedom-information-act-regulations2024-04-06T17:40Znever https://www.findknowdo.com/news/06/20/2017/speaker-ryan-promises-overhaul-tax-system2021-06-20T03:27Znever https://www.findknowdo.com/news/06/20/2017/new-deputy-director-sec-division-corporation-finance2021-01-05T17:48Znever https://www.findknowdo.com/news/06/21/2017/cftc-changes-delegation-authority-rules2024-04-06T17:40Znever https://www.findknowdo.com/news/06/21/2017/treasury-secretary-mnuchin-calls-broad-regulatory-relief-and-tax-reform2024-04-02T19:54Znever https://www.findknowdo.com/news/06/21/2017/cftc-settles-futures-market-manipulation-charges-against-fcm2024-04-06T17:40Znever https://www.findknowdo.com/news/06/22/2017/cftc-acting-chair-giancarlo-testifies-nomination-hearing2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/06/22/2017/sec-chair-clayton-expresses-concern-over-decline-u.s.-ipo-activity2020-12-15T02:47Znever https://www.findknowdo.com/news/06/22/2017/finra-proposes-waiving-fees-certain-transactions-affected-trace-systems-issue2024-04-12T12:51Znever https://www.findknowdo.com/news/06/23/2017/banking-regulators-recommend-volcker-reassessment-and-other-reforms2024-04-12T21:36Znever https://www.findknowdo.com/news/06/23/2017/sec-economist-examines-role-artificial-intelligence2020-12-03T01:11Znever https://www.findknowdo.com/news/06/23/2017/mfa-criticizes-cat-fee-schedule2021-01-13T17:57Znever https://www.findknowdo.com/news/06/23/2017/banks-pass-annual-federal-reserve-board-stress-tests2024-04-12T21:25Znever https://www.findknowdo.com/news/06/23/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/26/2017/federal-register-cftc-changes-delegation-authority-rules2024-04-06T17:40Znever https://www.findknowdo.com/news/06/26/2017/federal-reserve-board-governor-powell-advocates-additional-regulatory-reform2024-04-12T21:25Znever https://www.findknowdo.com/news/06/26/2017/federal-court-bans-cpo-making-false-statements2024-04-06T17:40Znever https://www.findknowdo.com/news/06/27/2017/finra-proposes-temporary-trace-exemption-atss2024-04-12T12:47Znever https://www.findknowdo.com/news/06/27/2017/cpmi-and-iosco-seek-comments-derivative-data-elements-swap-reporting2021-01-16T19:11Znever https://www.findknowdo.com/news/06/27/2017/cftc-office-inspector-general-criticizes-cost-benefit-consideration-margin-rule2024-04-06T17:40Znever https://www.findknowdo.com/news/06/27/2017/sec-and-cftc-leaders-defend-budget-requests2024-04-06T17:40Znever https://www.findknowdo.com/news/06/27/2017/bank-pay-3-million-improper-regulatory-accounting-risk-weighted-assets2024-04-12T21:25Znever https://www.findknowdo.com/news/06/27/2017/banking-regulators-solicit-comments-revisions-call-reports2024-04-12T21:36Znever https://www.findknowdo.com/news/06/27/2017/sec-grants-registration-exemption-mutual-insurance-company2024-01-30T18:17Znever https://www.findknowdo.com/news/06/28/2017/frb-governor-powell-examines-liquidity-risks-central-clearing2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/28/2017/hong-kong-cotton-exporter-pay-monetary-penalty-settle-alleged-reporting-violations2024-04-06T17:40Znever https://www.findknowdo.com/news/06/28/2017/cpmi-and-iosco-publish-draft-ccp-stress-test-framework2024-01-31T02:34Znever https://www.findknowdo.com/news/06/28/2017/ny-republicans-urge-treasury-secretary-reconsider-elimination-state-and-local-tax-deduction2021-06-20T03:27Znever https://www.findknowdo.com/news/06/30/2017/market-leaders-offer-recommendations-reform-equity-markets-%28-delta-strategy-group-summary%292024-04-13T15:50Znever https://www.findknowdo.com/news/06/29/2017/senate-ag-committee-votes-advance-cftc-chair-nominee-giancarlo2024-04-06T17:40Znever https://www.findknowdo.com/news/06/29/2017/frb-approves-capital-plans-all-major-banks2024-04-12T21:25Znever https://www.findknowdo.com/news/06/29/2017/cftc-enters-npas-traders-who-admitted-spoofing2024-04-06T17:40Znever https://www.findknowdo.com/news/06/29/2017/house-appropriations-committee-proposes-financial-services-and-government-appropriations-bill2021-06-21T18:17Znever https://www.findknowdo.com/news/06/29/2017/frb-vice-chair-fischer-assesses-u.s.-financial-stability2024-04-12T21:25Znever https://www.findknowdo.com/news/06/29/2017/firm-settles-cftc-wash-trading-charges2024-04-06T17:40Znever https://www.findknowdo.com/news/06/29/2017/msrb-provides-guidance-compliance-risk-municipal-advisors2024-04-12T00:21Znever https://www.findknowdo.com/news/06/29/2017/sec-grants-registration-exemption-football-fan-club2021-02-01T19:56Znever https://www.findknowdo.com/news/06/30/2017/sec-office-investor-advocate-delivers-policy-objectives-20182023-04-24T22:40Znever https://www.findknowdo.com/news/07/05/2017/cftc-acting-chair-giancarlo-move-past-dodd-frank-and-focus-how-cftc-applies-reforms2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/06/30/2017/occ-publishes-revised-branch-closings-section-comptroller-licensing-manual2024-04-12T21:36Znever https://www.findknowdo.com/news/06/30/2017/sec-expands-confidentiality-protection-draft-registration-statements2020-09-18T01:55Znever https://www.findknowdo.com/news/06/30/2017/weekly-roundup-exchange-rules-category2020-12-27T14:33Znever https://www.findknowdo.com/news/06/30/2017/frb-releases-determination-aggregate-financial-sector-liabilities2024-04-12T21:25Znever https://www.findknowdo.com/news/06/30/2017/finra-board-governors-elects-new-chair2024-04-12T12:47Znever https://www.findknowdo.com/news/07/05/2017/cftc-grants-reporting-exemption-binary-options-exchanges2024-04-06T17:40Znever https://www.findknowdo.com/news/07/06/2017/streetwise-professor-criticizes-dodd-frank-act2024-02-04T04:28Znever https://www.findknowdo.com/news/07/05/2017/nfa-requests-notification-ctas-using-third-party-recordkeepers2024-04-05T19:35Znever https://www.findknowdo.com/news/07/05/2017/occ-quarterly-report-shows-1.5-billion-increase-bank-trading-revenue2024-04-12T21:36Znever https://www.findknowdo.com/news/07/05/2017/regulators-release-resolution-plans-eight-large-domestic-firms2024-04-12T21:25Znever https://www.findknowdo.com/news/07/07/2017/bcbs-and-iosco-propose-criteria-identify-short-term-securitizations2024-02-05T17:30Znever https://www.findknowdo.com/news/07/06/2017/nfa-reminds-cpos-and-ctas-newly-effective-reporting-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/07/06/2017/federal-reserve-board-names-new-general-counsel2024-04-12T21:20Znever https://www.findknowdo.com/news/07/06/2017/iosco-offers-recommendations-liquidity-risk-management-funds2022-08-30T19:05Znever https://www.findknowdo.com/news/07/06/2017/frb-governor-powell-urges-housing-finance-reform2024-04-12T21:20Znever https://www.findknowdo.com/news/07/07/2017/cftc-grants-swap-execution-facility-status-bitcoin-exchange2024-04-06T17:40Znever https://www.findknowdo.com/news/07/07/2017/sec-updates-edgar-filing-manual2020-12-03T05:07Znever https://www.findknowdo.com/news/07/07/2017/nfa-supports-cftc-rule-changes-cco-duties-and-obligations2024-04-05T19:35Znever https://www.findknowdo.com/news/07/07/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/07/2017/occ-releases-semiannual-risk-report2024-04-12T21:36Znever https://www.findknowdo.com/news/07/10/2017/esma-issues-updated-qas-mifid-ii-implementation2026-01-25T16:03Zyearly https://www.findknowdo.com/news/07/10/2017/cftc-review-swap-data-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/07/10/2017/fdic-publishes-procedures-manual-evaluating-deposit-insurance-applications2024-04-12T19:04Znever https://www.findknowdo.com/news/07/10/2017/cftc-acting-chair-giancarlo-appoints-chief-innovation-officer2024-04-06T17:39Znever https://www.findknowdo.com/news/07/10/2017/msrb-names-new-general-counsel2024-04-12T00:20Znever https://www.findknowdo.com/news/07/10/2017/cfpb-adopts-rule-restricting-mandatory-arbitration-clauses-consumer-financial-contracts2024-04-12T17:10Znever https://www.findknowdo.com/news/07/11/2017/preliminary-approval-granted-settlement-class-action-suit-opening-unauthorized-accounts2020-12-15T05:15Znever https://www.findknowdo.com/news/07/11/2017/cftc-brings-two-commodity-pool-fraud-cases2024-04-06T17:39Znever https://www.findknowdo.com/news/07/11/2017/finra-releases-june-2017-monthly-podcast2024-04-12T12:47Znever https://www.findknowdo.com/news/07/13/2017/finra-proposes-amendments-expand-eligibility-serve-non-public-arbitrators2024-04-12T12:47Znever https://www.findknowdo.com/news/07/11/2017/finra-highlights-change-delay-periods-historic-trace-data-sets2024-04-12T12:47Znever https://www.findknowdo.com/news/07/11/2017/house-small-business-committee-requests-briefing-cfpb-rulemaking-activity2020-12-24T14:44Znever https://www.findknowdo.com/news/07/12/2017/senate-finance-committee-discuss-tax-reform2021-06-19T19:40Znever https://www.findknowdo.com/news/07/14/2017/ny-fed-executive-urges-universal-adoption-fx-global-code2024-04-12T21:20Znever https://www.findknowdo.com/news/07/12/2017/sec-chair-jay-clayton-lays-out-regulatory-agenda2022-08-30T19:08Znever https://www.findknowdo.com/news/07/13/2017/finra-and-msrb-issue-guidance-new-trade-confirmation-requirements2024-04-12T12:47Znever https://www.findknowdo.com/news/07/12/2017/sec-charges-research-scientist-insider-trading2020-12-15T03:33Znever https://www.findknowdo.com/news/07/12/2017/finra-adds-certain-secondary-market-transactions-trace2024-04-12T12:47Znever https://www.findknowdo.com/news/07/13/2017/sec-commissioner-kara-stein-addresses-capital-markets-issues2020-12-04T23:35Znever https://www.findknowdo.com/news/07/13/2017/fdic-reminds-banks-complete-q2-call-reports2024-04-12T19:04Znever https://www.findknowdo.com/news/07/13/2017/sec-educates-investors-stop-stop-limit-and-trailing-stop-orders2020-12-15T03:15Znever https://www.findknowdo.com/news/07/14/2017/financial-industry-professionals-testify-repeal-dol-fiduciary-rule2020-12-24T14:32Znever https://www.findknowdo.com/news/07/14/2017/appeals-court-dismisses-petition-review-msrb-pay-play-rule2024-02-05T01:50Znever https://www.findknowdo.com/news/07/14/2017/msrb-provides-guidance-conduit-financing2024-04-12T00:20Znever https://www.findknowdo.com/news/07/14/2017/iosco-and-cpmi-update-pfmi-implementation-report2024-01-31T02:34Znever https://www.findknowdo.com/news/07/14/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/17/2017/sec-proposes-designating-iex-listings-covered-securities2024-02-05T01:52Znever https://www.findknowdo.com/news/07/17/2017/divided-sec-affirms-dismissal-insider-trading-case2020-12-15T05:41Znever https://www.findknowdo.com/news/07/17/2017/bank-settles-charges-unsafe-and-unsound-fx-market-practices2024-04-12T21:20Znever https://www.findknowdo.com/news/07/18/2017/fdic-updates-guidelines-appealing-material-supervisory-determinations2024-04-12T19:04Znever https://www.findknowdo.com/news/07/18/2017/market-experts-criticize-sarbanes-oxley-urge-capital-formation-reforms2023-08-21T18:17Znever https://www.findknowdo.com/news/07/18/2017/sec-retains-senior-cybersecurity-advisor2021-03-20T16:47Znever https://www.findknowdo.com/news/07/18/2017/senate-finance-committee-considers-kautter-nomination-tax-policy-role2021-06-21T15:57Znever https://www.findknowdo.com/news/07/19/2017/nfa-charges-cta-supervisory-and-disclosure-violations2024-04-05T19:35Znever https://www.findknowdo.com/news/07/19/2017/acting-comptroller-currency-keith-noreika-supports-national-bank-charters-fintech-companies2024-04-12T21:36Znever https://www.findknowdo.com/news/07/19/2017/federal-register-cfpb-adopts-rule-restricting-mandatory-arbitration-clauses-consumer-financial-contracts2024-04-12T17:10Znever https://www.findknowdo.com/news/07/19/2017/associations-recommend-comprehensive-tax-reforms2021-01-13T20:10Znever https://www.findknowdo.com/news/07/19/2017/msrb-proposes-new-fee-underwriters-college-savings-plans2024-04-12T00:20Znever https://www.findknowdo.com/news/07/20/2017/nfa-publishes-interpretive-notice-swap-valuation-disputes2024-04-05T19:35Znever https://www.findknowdo.com/news/07/20/2017/sec-provides-information-certain-retirement-investing2021-06-21T19:03Znever https://www.findknowdo.com/news/07/20/2017/cfpb-updates-2017-rulemaking-agenda2024-04-12T17:10Znever https://www.findknowdo.com/news/07/20/2017/republicans-introduce-congressional-resolutions-nullify-cfpb-arbitration-rule2020-12-24T14:43Znever https://www.findknowdo.com/news/07/21/2017/federal-register-sec-proposes-designating-iex-listings-covered-securities2021-02-01T19:52Znever https://www.findknowdo.com/news/07/21/2017/senate-agriculture-committee-consider-cftc-nominations2024-04-06T17:39Znever https://www.findknowdo.com/news/07/21/2017/regulatory-agencies-review-volcker-rule-provisions-foreign-funds2024-04-12T21:36Znever https://www.findknowdo.com/news/07/21/2017/finra-elect-new-governors-annual-meeting2024-04-12T12:47Znever https://www.findknowdo.com/news/07/21/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/24/2017/nfa-revises-documentation-requirements-swap-dealer-registration2024-04-05T19:35Znever https://www.findknowdo.com/news/07/24/2017/sec-names-new-director-office-legislative-and-intergovernmental-affairs2019-04-03T18:56Znever https://www.findknowdo.com/news/07/24/2017/frb-task-force-faster-payments-makes-final-recommendations2024-04-12T21:20Znever https://www.findknowdo.com/news/07/24/2017/sifma-submits-recommendations-sec-developing-ia-and-bd-conduct-standard2023-05-23T00:07Znever https://www.findknowdo.com/news/07/24/2017/former-trader-banned-fx-misconduct2024-04-12T21:20Znever https://www.findknowdo.com/news/07/24/2017/cftc-grants-registration-clearing-agency-digital-currency2024-04-06T17:39Znever https://www.findknowdo.com/news/07/24/2017/cftc-exempts-dealers-margin-requirements-swap-transactions-european-stability-mechanism2024-04-06T17:39Znever https://www.findknowdo.com/news/07/24/2017/occ-names-new-chief-risk-officer2024-04-12T21:36Znever https://www.findknowdo.com/news/07/25/2017/fsoc-discuss-treasury-recommendations-volcker-rule2022-07-27T18:55Znever https://www.findknowdo.com/news/07/25/2017/cftc-extends-no-action-relief-non-u.s.-swap-dealers2024-04-06T17:39Znever https://www.findknowdo.com/news/07/25/2017/new-patent-awarded-cryptocurrency-settlement-system2020-12-15T03:45Znever https://www.findknowdo.com/news/07/25/2017/nasaa-proposes-rule-change-adviser-access-client-accounts2024-02-03T22:51Znever https://www.findknowdo.com/news/07/25/2017/sec-determines-interests-virtual-organizations-are-subject-u.s.-securities-laws2021-02-01T19:56Znever https://www.findknowdo.com/news/07/25/2017/sec-grants-whistleblower-award-government-employee2024-01-30T02:46Znever https://www.findknowdo.com/news/07/26/2017/sec-commissioner-piwowar-criticizes-dol-fiduciary-rule2024-01-31T19:31Znever https://www.findknowdo.com/news/07/26/2017/fdic-updates-supervisory-instructions-examination-reports2024-04-12T19:04Znever https://www.findknowdo.com/news/07/26/2017/trader-settles-cftc-spoofing-charges2024-04-06T17:39Znever https://www.findknowdo.com/news/07/26/2017/house-votes-block-cfpb-arbitration-rule2020-12-15T03:14Znever https://www.findknowdo.com/news/07/26/2017/finra-names-head-enforcement-consolidates-enforcement-functions2024-04-12T12:47Znever https://www.findknowdo.com/news/07/27/2017/fdic-reminds-banks-prepare-transition-t2-settlement-cycle2024-04-12T19:04Znever https://www.findknowdo.com/news/07/27/2017/fincen-fines-virtual-currency-exchange-aml-violations2024-04-02T18:52Znever https://www.findknowdo.com/news/07/27/2017/sec-awards-whistleblower-over-1.7-million2024-01-30T02:46Znever https://www.findknowdo.com/news/07/27/2017/fca-chief-executive-says-libor-unsustainable2022-11-09T18:36Znever https://www.findknowdo.com/news/07/27/2017/energy-services-company-settles-fcpa-case2020-12-15T05:53Znever https://www.findknowdo.com/news/07/28/2017/iosco-sees-uneven-progress-global-protection-client-assets2021-01-16T19:11Znever https://www.findknowdo.com/news/07/27/2017/senate-agriculture-committee-considers-three-cftc-nominees2024-04-06T17:39Znever https://www.findknowdo.com/news/07/28/2017/federal-register-sec-updates-edgar-filing-manual2020-12-03T05:07Znever https://www.findknowdo.com/news/07/28/2017/msrb-cautions-issuers-against-selecting-counsel-underwriters2024-04-12T00:20Znever https://www.findknowdo.com/news/07/28/2017/republican-leaders-announce-priorities-tax-reform2024-04-02T19:49Znever https://www.findknowdo.com/news/07/28/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/31/2017/cftc-identifies-rule-enforcement-deficiencies-makes-recommendations-nadex2024-04-06T17:39Znever https://www.findknowdo.com/news/07/31/2017/rep.-waters-introduces-legislation-amend-sec-disqualification-waiver-process2021-01-06T20:48Znever https://www.findknowdo.com/news/07/31/2017/democratic-staff-house-financial-services-committee-defend-cfpb2020-12-15T05:20Znever https://www.findknowdo.com/news/07/31/2017/cannabis-consultant-trades-wifes-inside-dope2020-12-15T06:41Znever https://www.findknowdo.com/news/07/31/2017/sec-approves-msrb-customer-account-transfer-rule-sets-effective-date2024-04-12T00:20Znever https://www.findknowdo.com/news/08/01/2017/finra-and-sipc-consolidate-annual-report-filings2024-04-12T12:46Znever https://www.findknowdo.com/news/08/01/2017/senate-democrats-outline-prerequisites-bipartisan-tax-reform2019-11-01T23:13Znever https://www.findknowdo.com/news/08/01/2017/occ-will-not-petition-fsoc-block-implementation-cfpb-arbitration-rule2024-04-12T21:36Znever https://www.findknowdo.com/news/08/02/2017/sec-obtains-final-judgment-against-equity-firm2021-01-24T05:23Znever https://www.findknowdo.com/news/08/02/2017/occ-requests-comments-volcker-rule-reforms2024-04-12T21:36Znever https://www.findknowdo.com/news/08/02/2017/msrb-elects-new-officers-and-board-members2024-04-12T00:20Znever https://www.findknowdo.com/news/08/02/2017/senate-committee-votes-advance-cftc-nominations2020-12-15T05:45Znever https://www.findknowdo.com/news/08/03/2017/accounting-firm-settles-audit-failure-charges-pcaob2022-12-03T14:10Znever https://www.findknowdo.com/news/08/03/2017/sec-investment-management-director-step-down2020-12-23T23:22Znever https://www.findknowdo.com/news/08/04/2017/frb-solicits-comments-proposals-change-rating-system-large-institutions2024-04-12T21:20Znever https://www.findknowdo.com/news/08/03/2017/senate-confirms-cftc-chair-j.-christopher-giancarlo-approves-new-commissioners2024-04-06T17:39Znever https://www.findknowdo.com/news/08/03/2017/occ-revises-failure-acquisitions-section-comptrollers-licensing-manual2024-04-12T21:36Znever https://www.findknowdo.com/news/08/03/2017/senate-confirms-david-j.-kautter-assistant-secretary-tax-policy-treasury2019-11-01T23:13Znever https://www.findknowdo.com/news/08/04/2017/president-trump-signs-new-sanctions-bill-decries-encroachment-executive-power2024-02-01T00:14Znever https://www.findknowdo.com/news/08/04/2017/acting-comptroller-noreika-criticizes-regulatory-barriers-banking-competition2024-04-12T21:36Znever https://www.findknowdo.com/news/08/04/2017/risk-desk-editor-praises-cftc-swap-data-regulatory-review2024-04-06T17:39Znever https://www.findknowdo.com/news/08/04/2017/finra-releases-july-2017-monthly-recap-podcast2024-04-12T12:46Znever https://www.findknowdo.com/news/08/04/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/07/2017/federal-register-occ-requests-comments-volcker-reforms2024-04-12T21:36Znever https://www.findknowdo.com/news/08/07/2017/ocie-cybersecurity-report-shows-overall-improvement2024-02-05T17:30Znever https://www.findknowdo.com/news/08/07/2017/japanese-bank-settles-spoofing-charges-cftc2024-04-06T17:39Znever https://www.findknowdo.com/news/08/07/2017/cme-clearing-europe-ltd.-gives-dco-registration2024-04-06T17:39Znever https://www.findknowdo.com/news/08/07/2017/irs-extends-phase-period-section-871%28m%29-withholding-regulations2024-04-04T18:52Znever https://www.findknowdo.com/news/08/08/2017/sec-issues-guidance-able-accounts2021-01-24T01:19Znever https://www.findknowdo.com/news/08/08/2017/banking-agencies-extend-some-resolution-plan-deadlines2024-04-12T21:20Znever https://www.findknowdo.com/news/08/08/2017/house-republican-staff-say-cfpb-director-cordray-could-be-contempt-congress2024-04-12T17:10Znever https://www.findknowdo.com/news/08/09/2017/sec-settles-insider-trading-charges-former-analyst2020-12-15T06:32Znever https://www.findknowdo.com/news/08/10/2017/sec-issues-report-access-capital-and-market-liquidity2021-02-01T19:39Znever https://www.findknowdo.com/news/08/09/2017/treasury-sanctions-eight-venezuelans-anti-democratic-activity2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/08/09/2017/federal-reserve-board-issues-guidelines-evaluating-joint-account-requests2024-04-12T21:20Znever https://www.findknowdo.com/news/08/09/2017/sec-renews-equity-market-structure-advisory-committee2020-12-03T11:45Znever https://www.findknowdo.com/news/08/10/2017/dol-proposes-delay-full-applicability-fiduciary-rule2024-04-04T19:20Znever https://www.findknowdo.com/news/08/10/2017/cftc-grants-relief-certain-position-aggregation-requirements2024-04-06T17:39Znever https://www.findknowdo.com/news/08/10/2017/nasaa-focus-fintech-annual-conference2024-02-03T22:51Znever https://www.findknowdo.com/news/08/11/2017/senator-warren-asks-bank-ceos-publicly-take-positions-cfpb-arbitration-rule2024-04-12T17:10Znever https://www.findknowdo.com/news/08/11/2017/appeals-court-rules-sec-must-conduct-reasoned-analysis-sro-proposals2024-01-31T19:31Znever https://www.findknowdo.com/news/08/11/2017/sec-settles-charges-against-husband-and-relatives-insider-trading2020-12-15T05:18Znever https://www.findknowdo.com/news/08/11/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/11/2017/seventh-circuit-upholds-first-criminal-conviction-spoofing2024-04-06T17:39Znever https://www.findknowdo.com/news/08/14/2017/banking-agencies-provide-guidance-capital-treatment-certain-cleared-derivatives-contracts2024-04-12T21:36Znever https://www.findknowdo.com/news/08/14/2017/cta-settles-nfa-over-failure-supervise-allegations2024-04-05T19:35Znever https://www.findknowdo.com/news/08/14/2017/iosco-makes-recommendations-greater-transparency-corporate-bond-markets2021-01-16T19:11Znever https://www.findknowdo.com/news/08/15/2017/cftc-grants-certain-cpos-relief-registration-and-reporting-requirements2024-04-06T17:39Znever https://www.findknowdo.com/news/08/15/2017/sec-settles-charges-against-accounting-firm-conducting-improper-audit2022-12-03T14:10Znever https://www.findknowdo.com/news/08/15/2017/aruba-based-futures-trading-company-settles-cftc-charge-illegal-wash-trading2024-04-06T17:39Znever https://www.findknowdo.com/news/08/17/2017/nfa-permanently-bans-former-associated-person-trading-misconduct2024-04-05T19:35Znever https://www.findknowdo.com/news/08/16/2017/new-commissioner-sworn-cftc2024-04-06T17:39Znever https://www.findknowdo.com/news/08/16/2017/sec-grants-limited-exemptive-relief-broker-dealer-custody-rule2020-12-20T23:39Znever https://www.findknowdo.com/news/08/16/2017/sec-charges-seven-insider-trading-scheme2020-12-15T06:52Znever https://www.findknowdo.com/news/08/17/2017/finra-proposes-rule-change-clarify-application-ex-dividend-rule-t2-transition2024-04-12T12:46Znever https://www.findknowdo.com/news/08/17/2017/u.s.-shipping-company-pay-over-500000-iran-sanctions-violations2024-03-06T23:34Znever https://www.findknowdo.com/news/08/18/2017/finra-proposes-applying-pay-play-rules-capital-acquisition-brokers2024-04-12T12:46Znever https://www.findknowdo.com/news/08/18/2017/sec-approves-amendments-expedite-finra-arbitration-proceedings2024-04-12T12:46Znever https://www.findknowdo.com/news/08/18/2017/firm-pay-35-million-improper-handling-pre-release-adrs2020-12-15T06:30Znever https://www.findknowdo.com/news/08/18/2017/pension-funds-claim-collusive-behavior-securities-lending-markets2021-01-16T00:19Znever https://www.findknowdo.com/news/08/18/2017/weekly-roundup-exchange-rules-category2020-12-15T03:46Znever https://www.findknowdo.com/news/08/21/2017/isda-ceo-touts-progress-variation-margin-preparation2021-01-15T00:21Znever https://www.findknowdo.com/news/08/21/2017/sec-updates-revenue-recognition-guidance2022-12-03T14:10Znever https://www.findknowdo.com/news/08/21/2017/occ-provides-guidance-residential-mortgage-lending-distressed-communities2024-04-12T21:36Znever https://www.findknowdo.com/news/08/21/2017/cftc-names-new-chief-economist2024-04-06T17:39Znever https://www.findknowdo.com/news/08/21/2017/msrb-amends-municipal-fund-security-advertising-rule2024-04-12T00:20Znever https://www.findknowdo.com/news/08/22/2017/sec-guides-investors-t2-transition2020-12-15T05:22Znever https://www.findknowdo.com/news/08/22/2017/hedge-fund-adviser-settles-charges-failing-implement-controls-prevent-insider-trading2021-02-01T20:00Znever https://www.findknowdo.com/news/08/22/2017/ofac-sanctions-chinese-and-russian-entities-and-individuals-providing-support-north-korea2026-06-20T13:33Zmonthly https://www.findknowdo.com/news/08/22/2017/sec-grants-no-action-relief-india-based-company-certain-tender-offer-requirements2021-01-05T17:48Znever https://www.findknowdo.com/news/08/22/2017/fincen-targets-shell-companies-purchasing-luxury-real-estate2024-04-02T18:52Znever https://www.findknowdo.com/news/08/23/2017/msrb-proposes-changes-reporting-information-municipal-fund-securities2024-04-12T00:20Znever https://www.findknowdo.com/news/08/23/2017/banking-agencies-propose-extending-transitional-regulatory-capital-rules-smaller-banks2024-04-12T21:36Znever https://www.findknowdo.com/news/08/23/2017/second-circuit-affirms-conviction-former-hedge-fund-portfolio-manager2022-11-16T00:58Znever https://www.findknowdo.com/news/08/23/2017/occ-publishes-guidance-substantial-asset-changes2024-04-12T21:36Znever https://www.findknowdo.com/news/08/23/2017/finra-elects-and-appoints-several-new-governors2024-04-12T12:46Znever https://www.findknowdo.com/news/08/24/2017/regulatory-agencies-release-semiannual-agendas2024-04-12T21:20Znever https://www.findknowdo.com/news/08/24/2017/sec-grants-etf-exemption-tender-offer-rules2021-01-24T02:41Znever https://www.findknowdo.com/news/08/24/2017/singapore-based-oilfield-services-company-pay-over-400000-iran-sanctions-violations2024-03-06T23:34Znever https://www.findknowdo.com/news/08/24/2017/finra-adopts-new-electronic-filing-form-compliance-finra-rule-quotations2024-04-12T12:46Znever https://www.findknowdo.com/news/08/24/2017/frb-seeks-comments-proposed-repo-based-reference-rates2024-04-12T21:20Znever https://www.findknowdo.com/news/08/25/2017/fed-chair-says-financial-reforms-successful-cautions-against-regulatory-overhaul2024-04-12T21:20Znever https://www.findknowdo.com/news/08/25/2017/cftc-enforcement-director-highlights-importance-self-reporting2024-04-06T17:39Znever https://www.findknowdo.com/news/08/25/2017/u.s.-imposes-economic-sanctions-against-venezuela2024-03-06T23:34Znever https://www.findknowdo.com/news/08/25/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/08/28/2017/sec-warns-investors-about-initial-coin-offering-related-fraud2021-02-01T19:56Znever https://www.findknowdo.com/news/08/29/2017/ny-department-financial-services-cybersecurity-regulation-now-effective2024-02-03T23:12Znever https://www.findknowdo.com/news/08/29/2017/federal-register-banking-agencies-propose-extending-transitional-regulatory-capital-rules-smaller-banks2024-04-12T21:36Znever https://www.findknowdo.com/news/08/29/2017/house-financial-services-chair-questions-political-motives-cfpb-director2024-04-12T17:10Znever https://www.findknowdo.com/news/08/30/2017/house-financial-services-committee-democrats-criticize-sec-non-enforcement-conflict-minerals-rule2020-12-15T05:23Znever https://www.findknowdo.com/news/08/30/2017/frb-governor-powell-discusses-reforms-board-directors-expectations2024-04-12T21:20Znever https://www.findknowdo.com/news/08/30/2017/petitioner-files-brief-supreme-court-whistleblower-case2024-01-30T02:46Znever https://www.findknowdo.com/news/08/30/2017/president-trump-pushes-comprehensive-tax-reform-agenda2021-06-21T15:52Znever https://www.findknowdo.com/news/08/31/2017/isda-ceo-scott-omalia-clarifies-developments-credit-derivatives-case2021-01-15T00:20Znever https://www.findknowdo.com/news/08/31/2017/finra-cautions-investors-about-initial-coin-offerings2024-04-12T12:46Znever https://www.findknowdo.com/news/08/31/2017/fcm-sanctioned-recordkeeping-violations2024-04-06T17:39Znever https://www.findknowdo.com/news/08/31/2017/ftc-staff-provides-guidance-hart-scott-rodino-procedures2024-04-03T20:15Znever https://www.findknowdo.com/news/08/31/2017/investment-advisory-charged-false-performance-claims2022-11-19T22:29Znever https://www.findknowdo.com/news/08/31/2017/sec-names-new-directors-two-divisions2021-01-24T01:17Znever https://www.findknowdo.com/news/09/01/2017/federal-reserve-board-restricts-qfc-cancellation-rights2024-04-12T21:20Znever https://www.findknowdo.com/news/09/01/2017/occ-publishes-revised-change-bank-control-booklet2024-04-12T21:36Znever https://www.findknowdo.com/news/09/01/2017/nfa-files-proposed-changes-registration-rules2024-04-05T19:35Znever https://www.findknowdo.com/news/09/01/2017/occ-and-fdic-propose-conform-banking-rules-t2-settlement-cycle2024-04-12T21:36Znever https://www.findknowdo.com/news/09/01/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/06/2017/broker-dealer-principal-settles-sec-charge-alleged-misconduct-led-violations-custody-rule2020-12-15T04:18Znever https://www.findknowdo.com/news/09/05/2017/sec-exempts-reit-tender-offer-requirements2021-01-05T17:48Znever https://www.findknowdo.com/news/09/05/2017/texas-based-energy-company-settles-cftc-charges-acting-unregistered-cpo2024-04-06T17:39Znever https://www.findknowdo.com/news/09/05/2017/new-york-dfs-seeks-over-629-million-bank-aml-violations2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/09/05/2017/cftc-commissioner-names-chief-staff2024-04-06T17:39Znever https://www.findknowdo.com/news/09/05/2017/former-registered-representatives-settle-sec-market-manipulation-charges2021-01-25T01:09Znever https://www.findknowdo.com/news/09/05/2017/president-trump-nominates-sec-commissioner2021-06-21T15:46Znever https://www.findknowdo.com/news/09/06/2017/finra-releases-august-2017-monthly-recap-podcast2024-04-12T12:46Znever https://www.findknowdo.com/news/09/06/2017/frb-outlines-strategies-improving-u.s.-payment-system2024-04-12T21:20Znever https://www.findknowdo.com/news/09/06/2017/stanley-fischer-resign-federal-reserve-board2024-04-12T21:20Znever https://www.findknowdo.com/news/09/06/2017/rostin-behnam-sworn-cftc-commissioner2024-04-06T17:39Znever https://www.findknowdo.com/news/09/06/2017/fdic-highlights-revised-guidelines-appeals-material-supervisory-determinations2024-04-12T19:04Znever https://www.findknowdo.com/news/09/07/2017/msrb-provides-expanded-statistics-municipal-bond-trading-public2024-04-12T00:19Znever https://www.findknowdo.com/news/09/07/2017/president-trump-highlights-tax-reform-priorities2021-06-21T15:57Znever https://www.findknowdo.com/news/09/08/2017/broker-dealer-settles-claims-overcharge-and-disclosure-violations2022-08-30T19:05Znever https://www.findknowdo.com/news/09/07/2017/senate-banking-committee-votes-key-administration-nominees2024-04-12T21:35Znever https://www.findknowdo.com/news/09/07/2017/sec-names-chief-litigation-counsel2020-12-23T23:22Znever https://www.findknowdo.com/news/09/07/2017/finra-ceo-provides-testimony-current-regulatory-efforts2024-04-12T12:46Znever https://www.findknowdo.com/news/09/08/2017/sec-commissioner-encourages-dialogue-exchange-traded-products2022-05-08T04:14Znever https://www.findknowdo.com/news/09/08/2017/isda-launches-new-version-standard-initial-margin-model2021-01-15T00:20Znever https://www.findknowdo.com/news/09/08/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/11/2017/cftc-chair-giancarlo-advocates-increased-cross-border-deference2024-04-06T17:39Znever https://www.findknowdo.com/news/09/11/2017/sec-chief-accountant-describes-advances-financial-reporting-standards2022-12-03T14:10Znever https://www.findknowdo.com/news/09/12/2017/president-trump-cuts-three-month-deal-democrats-debt-exceeds-20-trillion2024-04-02T19:49Znever https://www.findknowdo.com/news/09/13/2017/finra-hearing-panel-fines-broker-dealer-misrepresentations-and-supervisory-violations2024-04-12T12:46Znever https://www.findknowdo.com/news/09/12/2017/cftc-chair-giancarlo-warns-european-officials-against-unilateral-changes-ccp-regulation2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/09/13/2017/senate-banking-committee-considers-fintech-innovation2020-12-24T15:09Znever https://www.findknowdo.com/news/09/14/2017/senate-confirms-nominee-chair-council-economic-advisers2021-06-19T00:39Znever https://www.findknowdo.com/news/09/13/2017/nasaa-warns-investors-about-binary-options-schemes2024-02-03T22:51Znever https://www.findknowdo.com/news/09/13/2017/sec-educates-investors-about-trading-cash-accounts2023-04-24T22:39Znever https://www.findknowdo.com/news/09/14/2017/sec-committee-small-and-emerging-companies-makes-final-recommendations2020-12-15T04:51Znever https://www.findknowdo.com/news/09/13/2017/banking-agencies-propose-clean-amendments-reconcile-cra-regulations-regulation-c2024-04-12T21:35Znever https://www.findknowdo.com/news/09/14/2017/sec-fines-investment-firm-connection-mutual-fund-sales2022-01-04T01:05Znever https://www.findknowdo.com/news/09/14/2017/cftc-chair-reaffirms-commitment-deference-based-global-swaps-framework2024-04-06T17:39Znever https://www.findknowdo.com/news/09/14/2017/msrb-requests-comment-concept-proposal-primary-offering-practices2024-04-12T00:19Znever https://www.findknowdo.com/news/09/15/2017/senate-finance-committee-debates-tax-reform2019-11-01T23:13Znever https://www.findknowdo.com/news/09/15/2017/cme-group-exit-otc-credit-clearing-business2024-04-05T18:43Znever https://www.findknowdo.com/news/09/15/2017/cfpb-grants-no-action-relief-online-lending-platform-enforcement-actions-under-ecoa2024-04-12T17:10Znever https://www.findknowdo.com/news/09/15/2017/fincen-updates-list-jurisdictions-aml/cft-deficiencies2024-04-02T18:52Znever https://www.findknowdo.com/news/09/15/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/18/2017/new-york-dfs-proposes-expanding-cybersecurity-regulations-include-credit-reporting-agencies2024-02-03T23:12Znever https://www.findknowdo.com/news/09/18/2017/cftc-interviews-harvard-law-professor-connectedness-and-contagion2024-04-06T17:39Znever https://www.findknowdo.com/news/09/18/2017/finra-publishes-guidance-tba-margin-rules2024-04-12T12:46Znever https://www.findknowdo.com/news/09/19/2017/fdic-reminds-banks-proposed-rulemaking-shorten-settlement-cycle2024-04-12T19:04Znever https://www.findknowdo.com/news/09/19/2017/cftc-launches-updated-online-portal-file-form-402024-04-06T17:39Znever https://www.findknowdo.com/news/09/19/2017/senate-finance-committee-debates-business-tax-reform2019-11-01T23:14Znever https://www.findknowdo.com/news/09/19/2017/finra-proposes-delay-tba-margin-requirements2024-04-12T12:46Znever https://www.findknowdo.com/news/09/20/2017/cftc-grants-relief-university-concerning-management-endowment-fund2024-04-06T17:39Znever https://www.findknowdo.com/news/09/20/2017/cftc-grants-cpo-exemptive-relief-quarterly-reporting-requirements2024-04-06T17:39Znever https://www.findknowdo.com/news/09/20/2017/fincen-cautions-financial-institutions-about-venezuelan-money-laundering-u.s.2024-04-02T18:52Znever https://www.findknowdo.com/news/09/20/2017/federal-register-banking-agencies-propose-clean-amendments-reconcile-cra-regs-regulation-c2024-04-12T21:35Znever https://www.findknowdo.com/news/09/20/2017/massachusetts-attorney-general-sues-equifax-over-data-breach2022-08-30T19:05Znever https://www.findknowdo.com/news/09/20/2017/cftc-names-new-director-division-swap-dealer-and-intermediary-oversight2024-04-06T17:39Znever https://www.findknowdo.com/news/09/21/2017/sec-chair-clayton-reveals-2016-edgar-cybersecurity-breach2023-06-04T12:49Znever https://www.findknowdo.com/news/09/21/2017/sec-grants-relief-reit-tender-offer-requirements2021-01-05T17:48Znever https://www.findknowdo.com/news/09/21/2017/telecommunications-company-pay-965-million-fcpa-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/09/21/2017/nfa-adopts-changes-registration-rules2024-04-05T19:35Znever https://www.findknowdo.com/news/09/21/2017/u.s.-imposes-economic-sanctions-against-north-korea2024-04-02T19:49Znever https://www.findknowdo.com/news/09/22/2017/sec-provides-guidance-compliance-pay-ratio-disclosure-requirements2021-01-05T17:48Znever https://www.findknowdo.com/news/09/21/2017/emerging-markets-regulators-discuss-sustainable-finance-cyber-resilience2021-03-20T16:46Znever https://www.findknowdo.com/news/09/22/2017/cftc-fines-fcm-improper-supervision-relating-block-trades2024-04-06T17:39Znever https://www.findknowdo.com/news/09/22/2017/sec-deputy-chief-accountant-focuses-implementation-new-gaap-standards2023-08-21T18:17Znever https://www.findknowdo.com/news/09/22/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/22/2017/senate-banking-committee-question-equifax-ceo2022-08-30T19:10Znever https://www.findknowdo.com/news/09/25/2017/broker-dealer-fined-supervisory-failures-rolling-uits2024-04-12T12:46Znever https://www.findknowdo.com/news/09/25/2017/sec-educates-investors-about-opening-investment-advisory-accounts2022-08-30T19:08Znever https://www.findknowdo.com/news/09/25/2017/swap-dealer-pay-550000-reporting-violations2024-04-06T17:39Znever https://www.findknowdo.com/news/09/25/2017/outgoing-cftc-commissioner-sharon-bowen-reflects-tenure2024-04-06T17:39Znever https://www.findknowdo.com/news/09/25/2017/cftc-enforcement-director-offers-incentives-cooperation-and-self-reporting2024-04-06T17:39Znever https://www.findknowdo.com/news/09/26/2017/msrb-advises-dealers-compliance-risks2024-04-12T00:19Znever https://www.findknowdo.com/news/09/26/2017/global-capital-index-shows-improved-u.s.-capital-positions2024-04-12T19:04Znever https://www.findknowdo.com/news/09/26/2017/sec-unveils-new-cybersecurity-initiatives-sec-chair-updates-senate-committee-edgar-system-breach2021-03-20T16:47Znever https://www.findknowdo.com/news/09/26/2017/cftc-delegates-systems-safeguards-reporting-authority-staff2024-04-06T17:39Znever https://www.findknowdo.com/news/09/26/2017/cftc-extends-no-action-relief-ocr-reporting-obligations2024-04-06T17:39Znever https://www.findknowdo.com/news/09/26/2017/sec-chair-jay-clayton-outlines-regulatory-priorities2023-05-23T00:07Znever https://www.findknowdo.com/news/09/26/2017/sec-approves-delay-tba-margin-requirements2024-04-12T12:46Znever https://www.findknowdo.com/news/09/27/2017/sec-permanently-bars-stock-market-analyst-illegally-profiting-research-reports2020-12-15T06:49Znever https://www.findknowdo.com/news/09/26/2017/ofac-sanctions-north-korea-linked-banks-and-representatives2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/09/27/2017/acting-comptroller-reaffirms-support-online-lending2024-04-12T21:35Znever https://www.findknowdo.com/news/09/27/2017/cftc-grants-cpo-delegation-relief-unaffiliated-entities2024-04-06T17:39Znever https://www.findknowdo.com/news/09/27/2017/trump-administration-unveils-tax-reform-framework2024-04-02T19:49Znever https://www.findknowdo.com/news/09/28/2017/sec-grants-relief-tender-offer-requirements-reverse-morris-trust-transaction2021-01-05T17:48Znever https://www.findknowdo.com/news/09/27/2017/banking-agencies-propose-simplification-capital-rule2024-04-12T21:35Znever https://www.findknowdo.com/news/09/27/2017/cftc-grants-exemption-cpo/cta-registration2024-04-06T17:39Znever https://www.findknowdo.com/news/09/27/2017/federal-register-sec-provides-guidance-compliance-pay-ratio-disclosure-requirements2021-01-05T17:48Znever https://www.findknowdo.com/news/09/28/2017/cpo-pay-150000-inadequate-supervision-fund-administrator2024-04-06T17:39Znever https://www.findknowdo.com/news/09/28/2017/occ-identifies-bank-supervision-priorities-fy-20182024-04-12T21:35Znever https://www.findknowdo.com/news/09/28/2017/fdic-restricts-qfc-cancellation-rights2024-04-12T19:04Znever https://www.findknowdo.com/news/09/28/2017/cftc-charges-new-york-company-operating-bitcoin-ponzi-scheme2024-04-06T17:39Znever https://www.findknowdo.com/news/09/28/2017/sifma-credit-margin-dinner-focus-application-fintech-and-blockchain2021-06-21T19:32Znever https://www.findknowdo.com/news/09/28/2017/sec-clarifies-intent-amendments-fully-paid-securities-definition2020-12-15T05:22Znever https://www.findknowdo.com/news/09/28/2017/cftc-fines-fcm-supervisory-failures-concerning-fee-reconciliations2024-04-06T17:39Znever https://www.findknowdo.com/news/09/28/2017/cftc-names-new-director-division-clearing-and-risk2024-04-06T17:39Znever https://www.findknowdo.com/news/09/29/2017/frb-fines-bank-connection-fx-trading2024-04-12T21:19Znever https://www.findknowdo.com/news/09/29/2017/federal-register-fincen-revises-upcoming-customer-due-diligence-rule2024-04-02T18:52Znever https://www.findknowdo.com/news/09/29/2017/ofac-amends-directives-ukraine/russia-sanctions2024-03-06T23:34Znever https://www.findknowdo.com/news/09/29/2017/esma-publishes-guidelines-market-operators-and-data-providers2026-01-25T16:03Zyearly https://www.findknowdo.com/news/09/29/2017/president-trump-signs-fsoc-bill-assuring-insurance-regulator-continuity2022-07-27T18:55Znever https://www.findknowdo.com/news/09/29/2017/sec-pursues-former-sales-executive-and-friends-insider-trading2020-12-15T04:42Znever https://www.findknowdo.com/news/09/29/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/02/2017/cpo/cta-pay-250000-supervisory-failures-related-spoofing-violations2024-04-06T17:39Znever https://www.findknowdo.com/news/10/02/2017/sec-chair-clayton-says-edgar-system-data-breach-exposed-personally-identifiable-information2023-06-04T12:49Znever https://www.findknowdo.com/news/10/02/2017/sec-charges-new-york-businessman-fraud-connection-initial-coin-offerings2020-12-15T05:42Znever https://www.findknowdo.com/news/10/02/2017/msrb-increases-professional-fee-municipal-advisor-representatives2024-04-12T00:19Znever https://www.findknowdo.com/news/10/02/2017/finra-proposes-changes-trading-halts-rule2024-04-12T12:45Znever https://www.findknowdo.com/news/10/03/2017/former-equifax-ceo-apologizes-data-breach-details-remediation-efforts2022-08-30T19:05Znever https://www.findknowdo.com/news/10/03/2017/nfa-provides-guidance-swap-valuation-dispute-filing-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/10/04/2017/house-passes-bill-expand-treatment-municipal-securities-high-quality-liquid-assets2020-12-15T04:43Znever https://www.findknowdo.com/news/10/05/2017/treasury-recommends-reducing-certain-regulatory-tax-burdens-focuses-irc-section-3852024-04-04T18:51Znever https://www.findknowdo.com/news/10/04/2017/cftc-grants-registration-relief-delegating-cpo2024-04-06T17:39Znever https://www.findknowdo.com/news/10/04/2017/sec-chair-jay-clayton-updates-house-finance-committee-edgar-system-breach2020-12-15T06:42Znever https://www.findknowdo.com/news/10/04/2017/finra-releases-september-2017-monthly-recap-podcast2024-04-12T12:45Znever https://www.findknowdo.com/news/10/04/2017/sec-approves-finra-amendments-expand-non-public-arbitrator-definition2024-04-12T12:45Znever https://www.findknowdo.com/news/10/04/2017/sec-charges-investment-advisor-fraud2020-12-15T05:55Znever https://www.findknowdo.com/news/10/05/2017/cftc-commissioner-quintenz-promises-new-approach-regulating-algorithmic-trading2024-04-06T17:39Znever https://www.findknowdo.com/news/10/05/2017/ftc-doj-release-hart-scott-rodino-annual-report2024-04-03T20:15Znever https://www.findknowdo.com/news/10/06/2017/sec-approves-finra-amendments-associated-person-registration-and-examination-requirements2024-04-12T12:45Znever https://www.findknowdo.com/news/10/05/2017/cfpb-imposes-stricter-rules-payday-lending2024-04-12T17:10Znever https://www.findknowdo.com/news/10/05/2017/former-equifax-ceo-testifies-congress-cyber-breach2021-03-20T16:47Znever https://www.findknowdo.com/news/10/05/2017/frb-extends-comment-deadline-proposals-change-rating-system2024-04-12T21:19Znever https://www.findknowdo.com/news/10/06/2017/acting-comptroller-noreika-calls-regulatory-reforms2024-04-12T21:35Znever https://www.findknowdo.com/news/10/06/2017/occ-reminds-industry-members-comment-deadline-t2-proposal2024-04-12T21:35Znever https://www.findknowdo.com/news/10/06/2017/treasury-releases-recommendations-capital-markets-regulatory-reforms2024-04-02T19:49Znever https://www.findknowdo.com/news/10/06/2017/occ-rescinds-guidance-deposit-advance-products2024-04-12T21:35Znever https://www.findknowdo.com/news/10/06/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/09/2017/former-ceo-investment-firm-found-liable-misleading-investors2022-08-30T19:05Znever https://www.findknowdo.com/news/10/09/2017/sec-names-chief-office-international-corporate-finance2021-01-05T17:48Znever https://www.findknowdo.com/news/10/10/2017/iosco-shares-feedback-cds-determinations-and-auction-processes2021-01-16T19:11Znever https://www.findknowdo.com/news/10/10/2017/regulators-remind-banks-complete-q3-call-reports2024-04-12T21:35Znever https://www.findknowdo.com/news/10/10/2017/dubai-based-trading-firm-settles-cftc-spoofing-charges2024-04-06T17:39Znever https://www.findknowdo.com/news/10/11/2017/sec-proposes-modernize-and-simplify-regulation-s-k-disclosure-requirements2021-01-24T04:31Znever https://www.findknowdo.com/news/10/11/2017/cftc-chair-will-delay-swap-dealer-de-minimis-threshold-transition2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/10/11/2017/treasury-removes-inoperative-thrift-supervision-rules-cfr2024-04-02T19:49Znever https://www.findknowdo.com/news/10/11/2017/sec-charges-former-homebuilding-company-employees-fraud2020-12-15T04:27Znever https://www.findknowdo.com/news/10/12/2017/federal-register-occ-rescinds-guidance-deposit-advance-products2024-04-12T21:35Znever https://www.findknowdo.com/news/10/12/2017/sec-awards-whistleblower-over-1-million2024-01-30T02:46Znever https://www.findknowdo.com/news/10/12/2017/occ-chief-counsel-retire2024-04-12T21:35Znever https://www.findknowdo.com/news/10/12/2017/occ-names-new-deputy-comptroller-supervision-risk-management2024-04-12T21:35Znever https://www.findknowdo.com/news/10/13/2017/states-respond-equifax-cyber-breach-enforcement-actions-and-calls-enhanced-regulatory-powers2024-09-23T18:13Zyearly https://www.findknowdo.com/news/10/16/2017/cftc-division-clearing-and-risk-determines-variation-margin-payments-are-settlements2024-04-06T17:38Znever https://www.findknowdo.com/news/10/13/2017/msrb-proposes-collect-additional-transactional-fee-data-certain-underwriters2024-04-12T00:19Znever https://www.findknowdo.com/news/10/13/2017/occ-releases-updated-list-permissible-activities-banks2024-04-12T21:35Znever https://www.findknowdo.com/news/10/13/2017/ofac-imposes-new-sanctions-iranian-revolutionary-guard2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/10/13/2017/cftc-eu-make-comparability-determinations-margin-requirements-uncleared-swaps2024-04-06T17:39Znever https://www.findknowdo.com/news/10/13/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/16/2017/federal-register-cfpb-issues-interim-final-rule-mortgage-servicing-notices2024-04-12T17:10Znever https://www.findknowdo.com/news/10/17/2017/broker-dealer-pays-restitution-case-concerning-volatility-linked-etps-finra-issues-guidance-related-sales-practices2024-04-12T12:45Znever https://www.findknowdo.com/news/10/16/2017/clearinghouses-pass-cftc-liquidity-stress-test2024-04-06T17:38Znever https://www.findknowdo.com/news/10/16/2017/g-7-countries-publish-report-cybersecurity-fundamentals2024-04-02T19:49Znever https://www.findknowdo.com/news/10/17/2017/cftc-commissioner-quintenz-examines-oversight-ccps2024-04-06T17:38Znever https://www.findknowdo.com/news/10/17/2017/cftc-provides-guidance-virtual-currencies2024-04-06T17:38Znever https://www.findknowdo.com/news/10/18/2017/federal-register-cftc-makes-comparability-determination-eu-margin-requirements-uncleared-swaps2024-04-06T17:38Znever https://www.findknowdo.com/news/10/18/2017/sec-charges-mining-company-fraud-inflating-value-coal-assets2020-12-15T06:35Znever https://www.findknowdo.com/news/10/18/2017/sec-grants-relief-reit-ica-registration-requirements2021-01-23T20:16Znever https://www.findknowdo.com/news/10/18/2017/msrb-identifies-areas-concern-protecting-retail-investors2024-04-12T00:19Znever https://www.findknowdo.com/news/10/18/2017/sec-names-new-director-division-trading-and-markets2020-12-23T23:22Znever https://www.findknowdo.com/news/10/19/2017/frb-governor-describes-impact-fintech-banking-and-payment-services2024-04-12T21:19Znever https://www.findknowdo.com/news/10/19/2017/finra-proposes-amendments-arbitration-procedures-involving-inactive-members2024-04-12T12:45Znever https://www.findknowdo.com/news/10/19/2017/finra-solicits-comments-non-attorney-representatives-arbitration2024-04-12T12:45Znever https://www.findknowdo.com/news/10/19/2017/fdic-appoints-new-chief-information-officer-two-new-directors2024-04-12T19:04Znever https://www.findknowdo.com/news/10/20/2017/dtcc-explores-impact-fintech-global-systemic-risk2024-04-09T15:05Znever https://www.findknowdo.com/news/10/20/2017/cftc-director-international-affairs-talks-cross-border-regulation2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/10/20/2017/president-trump-nominate-candidates-ftc-chair-and-commissioner2024-09-23T18:03Zyearly https://www.findknowdo.com/news/10/20/2017/cftc-chief-innovation-officer-describes-development-labcftc-initiative2024-04-06T17:38Znever https://www.findknowdo.com/news/10/20/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/23/2017/mfa-recommends-greater-harmonization-cftc/eu-swaps-trading-rules2021-01-13T17:57Znever https://www.findknowdo.com/news/10/23/2017/treasury-criticizes-cfpb-arbitration-rule2024-04-02T19:49Znever https://www.findknowdo.com/news/10/23/2017/uk-financial-conduct-authority-fines-broker-dealer-emir-reporting-violations2022-12-03T16:45Znever https://www.findknowdo.com/news/10/23/2017/banking-agencies-provide-guidance-liquidity-coverage-ratio2024-04-12T21:35Znever https://www.findknowdo.com/news/10/23/2017/sec-approves-new-pcaob-standard-audit-reporting2022-12-03T02:18Znever https://www.findknowdo.com/news/10/24/2017/finra-proposes-fees-trace-security-activity-report-and-end-day-transaction-file2024-04-12T12:45Znever https://www.findknowdo.com/news/10/24/2017/former-head-global-fx-trading-convicted-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/10/25/2017/u.s.-senate-votes-block-cfpb-arbitration-rule2020-12-15T02:21Znever https://www.findknowdo.com/news/10/25/2017/senate-banking-committee-considers-two-sec-nominees2020-12-23T23:22Znever https://www.findknowdo.com/news/10/25/2017/sec-exempts-etf-certain-regulation-m-requirements2021-01-24T02:00Znever https://www.findknowdo.com/news/10/25/2017/sec-exempts-iex-listings-state-registration-requirements2021-02-01T19:52Znever https://www.findknowdo.com/news/10/26/2017/cftc-officially-delays-changing-swap-dealer-de-minimis-threshold2024-04-06T17:38Znever https://www.findknowdo.com/news/10/26/2017/sec-provides-relief-related-mifid-ii-research-payment-provisions2022-11-15T02:22Znever https://www.findknowdo.com/news/10/26/2017/ofac-sanctions-north-korean-officials2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/10/26/2017/ny-fed-senior-vp-calls-collaboration-address-systemic-risks2020-12-15T03:51Znever https://www.findknowdo.com/news/10/26/2017/senator-warren-warns-against-easing-oversight-big-banks2020-12-15T03:54Znever https://www.findknowdo.com/news/10/26/2017/sec-names-new-director-office-compliance-inspections-and-examinations2020-12-23T23:22Znever https://www.findknowdo.com/news/10/27/2017/uk-financial-conduct-authority-establishes-position-limits-commodity-derivatives2022-12-03T16:45Znever https://www.findknowdo.com/news/10/27/2017/treasury-recommends-asset-management-and-insurance-reforms2024-04-02T19:49Znever https://www.findknowdo.com/news/10/27/2017/cftc-grants-cpos-relief-u.s.-gaap-reporting2024-04-06T17:38Znever https://www.findknowdo.com/news/10/27/2017/sec-commissioner-michael-piwowar-commits-equity-market-structure-review2022-11-19T19:43Znever https://www.findknowdo.com/news/10/27/2017/sec-co-director-enforcement-provides-additional-details-new-retail-strategy-task-force-and-cybersecurity-unit2023-06-04T12:49Znever https://www.findknowdo.com/news/10/27/2017/cftc-exempts-certain-amended-legacy-swaps-between-swap-dealers-and-special-purpose-vehicles2024-04-06T17:38Znever https://www.findknowdo.com/news/10/27/2017/federal-register-banking-agencies-propose-simplification-capital-rule2024-04-12T21:35Znever https://www.findknowdo.com/news/11/03/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/10/30/2017/cftc-grants-reporting-relief-operator-non-u.s.-commodity-pools2024-04-06T17:38Znever https://www.findknowdo.com/news/10/30/2017/occ-provides-guidance-federal-branches-and-agencies-foreign-banks2024-04-12T21:35Znever https://www.findknowdo.com/news/10/30/2017/occ-grants-first-national-bank-charter-financial-crisis2024-04-12T21:35Znever https://www.findknowdo.com/news/10/30/2017/federal-register-fdic-restricts-certain-qfc-cancellation-rights2024-04-12T19:04Znever https://www.findknowdo.com/news/10/30/2017/cftc-commissioner-behnam-lead-mrac-remaining-committees-get-temporary-sponsors2024-04-06T17:38Znever https://www.findknowdo.com/news/11/01/2017/investment-company-institute-hold-closed-end-fund-conference2021-06-21T18:24Znever https://www.findknowdo.com/news/10/30/2017/happy-halloween2024-02-04T04:11Znever https://www.findknowdo.com/news/10/31/2017/cftc-extends-exemptive-relief-sefs-certain-audit-trail-data-requirements2024-04-06T17:38Znever https://www.findknowdo.com/news/10/31/2017/cftc-extends-trade-execution-relief-package-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/10/31/2017/finra-highlights-deadlines-broker-dealer-and-investment-adviser-renewals2024-04-12T12:45Znever https://www.findknowdo.com/news/10/31/2017/occ-publishes-revised-subsidiaries-and-equity-investments-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/10/31/2017/sec-cyber-unit-charges-trader-brokerage-account-hacking-scheme2021-03-20T16:46Znever https://www.findknowdo.com/news/10/31/2017/ofac-amends-directive-ukraine-and-russia-energy-sector-sanctions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/31/2017/investment-adviser-pay-more-630000-illegal-short-sales2020-12-15T06:49Znever https://www.findknowdo.com/news/10/31/2017/federal-register-cftc-officially-delays-changing-swap-dealer-de-minimis-threshold2024-04-06T17:38Znever https://www.findknowdo.com/news/11/01/2017/occ-issues-revised-policies-and-procedures-bank-enforcement-actions2024-04-12T21:35Znever https://www.findknowdo.com/news/11/01/2017/cftc-issues-order-permitting-cme-commingle-certain-customer-funds2024-04-06T17:38Znever https://www.findknowdo.com/news/11/01/2017/nasaa-extends-waiver-iard-fees-20182024-02-03T22:51Znever https://www.findknowdo.com/news/11/01/2017/fincen-penalizes-texas-based-bank-aml-violations2024-04-02T18:52Znever https://www.findknowdo.com/news/11/01/2017/petroleum-engineer-settles-sec-insider-trading-charges2020-12-15T06:33Znever https://www.findknowdo.com/news/11/01/2017/president-trump-signs-legislative-resolution-nullifying-cfpb-arbitration-rule2021-06-20T03:34Znever https://www.findknowdo.com/news/11/01/2017/sec-provides-guidance-shareholder-proposals2021-01-05T17:48Znever https://www.findknowdo.com/news/11/02/2017/sec-extends-exemption-broker-dealers-certain-large-trader-recordkeeping-and-reporting-requirements2020-12-15T06:23Znever https://www.findknowdo.com/news/11/02/2017/cftc-grants-exemptive-relief-dco-related-liquidity-facility-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/11/03/2017/do-you-want-know-a-secret-cabinet-can-help-you-understand-insider-trading2024-02-04T04:11Znever https://www.findknowdo.com/news/11/02/2017/frb-governor-describes-transition-libor-alternative-rate2024-04-12T21:19Znever https://www.findknowdo.com/news/11/02/2017/fcm-settles-cftc-charges-large-trader-reporting-violations2024-04-06T17:38Znever https://www.findknowdo.com/news/11/02/2017/president-trump-nominates-new-fed-chair2024-04-12T21:19Znever https://www.findknowdo.com/news/11/02/2017/fincen-restricts-north-korean-access-financial-system2024-04-02T18:52Znever https://www.findknowdo.com/news/11/03/2017/cftc-commissioner-quintenz-urges-reconsideration-de-minimis-threshold-metrics2024-04-06T17:38Znever https://www.findknowdo.com/news/11/03/2017/iosco-issues-progress-reports-money-market-fund-regulation-and-securitizations2021-01-24T02:29Znever https://www.findknowdo.com/news/11/03/2017/sec-names-new-chief-fcpa-unit2020-12-23T23:22Znever https://www.findknowdo.com/news/11/03/2017/federal-register-sec-proposes-modernize-and-simplify-regulation-s-k-disclosure-requirements2021-01-24T04:31Znever https://www.findknowdo.com/news/11/06/2017/cftc-chair-j.-christopher-giancarlo-criticizes-eu-plan-invade-u.s.-markets2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/11/06/2017/new-pcaob-rules-require-reporting-critical-audit-matters2022-12-03T02:18Znever https://www.findknowdo.com/news/11/06/2017/swap-dealer-fined-10-million-providing-inaccurate-mid-market-marks2024-04-06T17:38Znever https://www.findknowdo.com/news/11/06/2017/finra-notifies-firms-upcoming-effective-date-capital-acquisition-broker-pay-play-rules2024-04-12T12:45Znever https://www.findknowdo.com/news/11/06/2017/sec-approves-new-trace-data-reports2024-04-12T12:45Znever https://www.findknowdo.com/news/11/06/2017/new-york-fed-president-and-ceo-dudley-step-down2024-04-12T21:19Znever https://www.findknowdo.com/news/11/06/2017/cftc-commissioner-quintenz-names-special-counsel2024-04-06T17:38Znever https://www.findknowdo.com/news/11/07/2017/sec-provides-guidance-permissible-electronic-safeguards-certain-disclosures2020-12-04T23:35Znever https://www.findknowdo.com/news/11/07/2017/outgoing-ny-fed-president-dudley-warns-against-broad-changes-dodd-frank-regulations2024-04-12T21:19Znever https://www.findknowdo.com/news/11/07/2017/msrb-provides-guidance-continuing-education-requirements-municipal-advisors2024-04-12T00:19Znever https://www.findknowdo.com/news/11/08/2017/cftc-exempts-three-international-financial-institutions-swap-clearing-requirement2024-04-06T17:38Znever https://www.findknowdo.com/news/11/08/2017/occ-publishes-revised-subordinated-debt-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/08/2017/ocie-identifies-compliance-deficiencies-newly-registered-municipal-advisors2020-12-15T06:48Znever https://www.findknowdo.com/news/11/08/2017/msrb-proposes-amendments-cusip-number-requirements2024-04-12T00:19Znever https://www.findknowdo.com/news/11/08/2017/sec-chair-jay-clayton-sets-near-term-regulatory-goals2020-12-16T21:53Znever https://www.findknowdo.com/news/11/08/2017/sec-exempts-etf-certain-regulation-m-requirements2021-01-24T02:00Znever https://www.findknowdo.com/news/11/08/2017/ofac-toughens-cuban-sanctions-rules2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/08/2017/treasury-names-new-fincen-director2024-04-02T18:52Znever https://www.findknowdo.com/news/12/14/2017/wright-brothers-day-playlist2024-02-04T04:11Znever https://www.findknowdo.com/news/11/09/2017/labcftc-was-built-promote-fintech-says-cftc-chief-innovation-officer2024-04-06T17:38Znever https://www.findknowdo.com/news/11/09/2017/treasury-undersecretary-urges-cooperation-combating-terrorist-financing2024-04-02T19:49Znever https://www.findknowdo.com/news/11/09/2017/banking-regulators-propose-new-call-report-revisions2024-04-12T21:35Znever https://www.findknowdo.com/news/11/09/2017/sec-enforcement-co-director-promises-robust-fcpa-enforcement2020-12-15T03:27Znever https://www.findknowdo.com/news/11/09/2017/sec-forms-fixed-income-market-structure-advisory-committee2024-02-05T01:50Znever https://www.findknowdo.com/news/11/10/2017/nfa-names-nominees-board-directors-and-2018-nominating-committee2024-04-05T19:35Znever https://www.findknowdo.com/news/11/10/2017/occ-publishes-revised-background-investigations-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/10/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/10/2017/ofac-updates-faqs-venezuelan-economic-sanctions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/10/2017/sifma-urges-sec-delay-cat-compliance-deadline2023-06-04T12:49Znever https://www.findknowdo.com/news/11/13/2017/cftc-chair-giancarlo-urges-sef-reform-and-improved-stress-testing-ccps2024-04-06T17:38Znever https://www.findknowdo.com/news/11/13/2017/finra-proposes-allowing-firms-conduct-remote-inspections-qualifying-offices2024-04-12T12:45Znever https://www.findknowdo.com/news/11/14/2017/norway-based-energy-company-pay-4-million-attempted-manipulation-index2024-04-06T17:38Znever https://www.findknowdo.com/news/11/14/2017/finra-requests-information-order-routing-conflicts2024-04-12T12:45Znever https://www.findknowdo.com/news/11/16/2017/sec-chief-accountant-reviews-implementation-new-accounting-standards2022-12-03T00:35Znever https://www.findknowdo.com/news/11/14/2017/fcm-pay-280000-unlawful-exchange-related-position-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/11/14/2017/cftc-extends-no-action-relief-sefs-certain-block-trade-requirements2024-04-06T17:38Znever https://www.findknowdo.com/news/11/14/2017/cftc-commissioner-behnam-evaluates-implementation-derivatives-reforms2024-04-06T17:38Znever https://www.findknowdo.com/news/11/14/2017/occ-publishes-revised-business-combinations-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/15/2017/ny-department-financial-services-fines-bank-unsafe-and-unsound-fx-practices2024-02-03T23:12Znever https://www.findknowdo.com/news/11/15/2017/sec-chair-jay-clayton-rejects-request-exchanges-delay-cat-reporting-implementation2020-12-15T03:14Znever https://www.findknowdo.com/news/11/15/2017/senator-orrin-hatch-modifies-senate-tax-plan-aca-individual-mandate-tax-would-be-repealed2019-11-01T23:13Znever https://www.findknowdo.com/news/11/15/2017/cftc-chair-touts-regtech-potential2024-04-06T17:38Znever https://www.findknowdo.com/news/11/15/2017/fdic-chair-warns-against-weakening-dodd-frank-requirements2024-04-12T19:03Znever https://www.findknowdo.com/news/11/15/2017/cabinet-adds-topic-page-custody-requirements-rics2024-02-04T04:11Znever https://www.findknowdo.com/news/11/15/2017/cfpb-director-richard-cordray-resign2024-04-12T17:10Znever https://www.findknowdo.com/news/11/15/2017/occ-publishes-revised-branches-and-relocations-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/15/2017/sec-approves-finra-cat-fee-dispute-resolution-rule2024-04-12T12:45Znever https://www.findknowdo.com/news/11/16/2017/sec-enforcement-division-reviews-fy-2017-enforcement-actions2020-12-15T05:19Znever https://www.findknowdo.com/news/11/16/2017/ferc-publishes-2017-report-enforcement2021-06-21T18:14Znever https://www.findknowdo.com/news/11/16/2017/finra-will-enhance-transparency-advisory-committees2024-04-12T12:45Znever https://www.findknowdo.com/news/11/16/2017/msrb-seeks-comment-compliance-support2024-04-12T00:19Znever https://www.findknowdo.com/news/11/16/2017/sec-grants-etf-exemption-certain-tender-offer-rules2021-01-24T02:41Znever https://www.findknowdo.com/news/11/22/2017/a-cyber-monday-playlist-shopping-online2024-02-04T04:11Znever https://www.findknowdo.com/news/11/17/2017/treasury-makes-recommendations-fsoc-designation-processes2024-04-02T19:49Znever https://www.findknowdo.com/news/11/17/2017/fincen-fines-casino-8-million-aml-violations2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/11/17/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/17/2017/frb-governor-argues-better-consumer-data-protections2024-04-12T21:19Znever https://www.findknowdo.com/news/11/17/2017/occ-publishes-revised-public-notice-and-comments-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/17/2017/global-fx-committee-will-revise-guidance-last-look-trading-activity2020-12-15T06:05Znever https://www.findknowdo.com/news/11/17/2017/frb-extends-comment-deadline-proposals-change-rating-system2024-04-12T21:19Znever https://www.findknowdo.com/news/11/20/2017/cftc-extends-due-date-certain-sef-compliance-and-financial-reports2024-04-06T17:38Znever https://www.findknowdo.com/news/11/20/2017/nfa-solicits-nominees-public-representatives-board-directors2024-04-05T19:35Znever https://www.findknowdo.com/news/11/20/2017/janet-yellen-resigns-federal-reserve-board2024-04-12T21:19Znever https://www.findknowdo.com/news/11/20/2017/banking-agencies-adopt-clean-amendments-reconcile-cra-regulations-regulation-c2024-04-12T21:35Znever https://www.findknowdo.com/news/11/20/2017/banking-agencies-adjust-thresholds-small-loans2024-04-12T21:35Znever https://www.findknowdo.com/news/11/21/2017/texas-based-oil-broker-settles-charges-failing-register-sec2020-12-15T05:14Znever https://www.findknowdo.com/news/11/20/2017/updated-cabinet-erisa-chapter-focuses-fiduciary-rule2024-02-04T04:11Znever https://www.findknowdo.com/news/11/21/2017/cftc-extends-registration-relief-chinese-dco2024-04-06T17:38Znever https://www.findknowdo.com/news/11/21/2017/nfa-touts-accomplishments-2017-annual-review2024-04-05T19:35Znever https://www.findknowdo.com/news/11/21/2017/grand-jury-charges-iranian-national-hack-cable-television-network-computer-system2021-01-16T00:19Znever https://www.findknowdo.com/news/11/21/2017/sec-charges-long-island-town-former-supervisor-defrauding-municipal-investors2024-02-05T01:50Znever https://www.findknowdo.com/news/11/21/2017/finra-provides-additional-guidance-aml-obligations2024-04-12T12:45Znever https://www.findknowdo.com/news/11/22/2017/broker-dealer-fined-inadequate-vetting-nonregistered-employees2024-04-12T12:44Znever https://www.findknowdo.com/news/11/21/2017/uber-discloses-cyberattack-compromised-information-57-million-users2021-03-20T16:46Znever https://www.findknowdo.com/news/11/21/2017/doj-charges-two-individuals-fcpa-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/11/22/2017/banking-agencies-extend-transitional-regulatory-capital-rules2024-04-12T21:35Znever https://www.findknowdo.com/news/11/22/2017/sec-allows-fund-file-post-effective-amendments-registration-statement2021-01-24T01:50Znever https://www.findknowdo.com/news/11/22/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/11/22/2017/cftc-releases-fy-2017-enforcement-results2024-04-06T17:38Znever https://www.findknowdo.com/news/11/27/2017/sec-names-new-deputy-director-investment-management-division2020-12-23T23:22Znever https://www.findknowdo.com/news/11/27/2017/cfpb-deputy-director-challenges-presidents-appointment-acting-director2024-04-12T17:10Znever https://www.findknowdo.com/news/11/27/2017/chinese-nationals-charged-hacking-u.s.-financial-services-and-manufacturing-companies2024-04-03T19:49Znever https://www.findknowdo.com/news/11/27/2017/new-comptroller-currency-sworn2024-04-12T21:35Znever https://www.findknowdo.com/news/11/28/2017/fed-chair-nominee-testifies-senate-banking-committee2024-04-12T21:19Znever https://www.findknowdo.com/news/11/28/2017/district-court-rejects-request-declare-cfpb-acting-director2020-12-23T23:23Znever https://www.findknowdo.com/news/11/28/2017/cftc-chair-promotes-policies-encouraging-liquidity-treasury-futures2024-04-06T17:38Znever https://www.findknowdo.com/news/11/28/2017/nfa-proposes-amendments-requiring-firms-maintain-records-electronic-communications2024-04-05T19:35Znever https://www.findknowdo.com/news/11/28/2017/ny-fed-president-reflects-policy-priorities-u.s.-treasury-market2024-04-12T21:19Znever https://www.findknowdo.com/news/11/29/2017/finra-solicits-comments-payments-market-making-rule2024-04-12T12:44Znever https://www.findknowdo.com/news/11/29/2017/sec-chair-clayton-urges-coordination-regulating-treasury-market2020-12-15T05:22Znever https://www.findknowdo.com/news/11/29/2017/federal-register-occ-adopts-mandatory-contractual-stay-requirements-qualified-financial-contracts2024-04-12T21:35Znever https://www.findknowdo.com/news/11/29/2017/deputy-attorney-general-details-new-fcpa-corporate-enforcement-policy2024-04-03T19:49Znever https://www.findknowdo.com/news/11/29/2017/doj-names-acting-assistant-ag-doj-criminal-division2024-04-03T19:49Znever https://www.findknowdo.com/news/11/29/2017/community-bank-association-sues-equifax-over-cybersecurity-breach2022-08-30T19:05Znever https://www.findknowdo.com/news/11/29/2017/sdny-enters-judgment-against-new-york-town-defrauding-municipal-bond-investors2024-02-05T01:50Znever https://www.findknowdo.com/news/11/30/2017/netherlands-based-manufacturing-company-pay-238-million-settle-fcpa-bribery-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/11/30/2017/securities-and-exchange-commission-ratifies-appointment-administrative-law-judges-response-legal-challenge2019-12-12T19:21Znever https://www.findknowdo.com/news/11/30/2017/cftc-extends-reporting-relief-non-u.s.-swap-dealers-and-participants2024-04-06T17:38Znever https://www.findknowdo.com/news/11/30/2017/frb-vice-chair-warns-about-risks-presented-privately-developed-digital-currencies2024-04-12T21:19Znever https://www.findknowdo.com/news/11/30/2017/occ-publishes-revised-capital-and-dividends-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/11/30/2017/president-trump-nominates-new-fed-governor2024-04-12T21:19Znever https://www.findknowdo.com/news/11/30/2017/president-trump-nominates-new-fsoc-member2022-07-27T18:55Znever https://www.findknowdo.com/news/11/30/2017/sec-awards-over-16-million-whistleblowers-enforcement-case2024-01-30T02:46Znever https://www.findknowdo.com/news/11/30/2017/cftc-commissioner-describes-implications-dlt-futures-product-listings2024-04-06T17:38Znever https://www.findknowdo.com/news/11/30/2017/chief-accountant-sec-division-corporation-finance-leave-agency2020-12-23T23:22Znever https://www.findknowdo.com/news/11/30/2017/sec-industry-members-discuss-small-business-capital-formation2023-08-21T18:17Znever https://www.findknowdo.com/news/12/01/2017/futures-exchanges-self-certify-bitcoin-futures-products2024-04-06T17:38Znever https://www.findknowdo.com/news/12/01/2017/finra-reminds-firms-2018-report-filing-due-dates2024-04-12T12:44Znever https://www.findknowdo.com/news/12/01/2017/sec-charges-former-mayor-fraud-pay-play-scheme2024-02-05T01:50Znever https://www.findknowdo.com/news/12/01/2017/representatives-introduce-resolution-block-cfpb-payday-lending-rule2020-12-15T02:47Znever https://www.findknowdo.com/news/12/01/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/04/2017/sec-obtains-emergency-order-block-ico-scam2022-07-02T22:31Znever https://www.findknowdo.com/news/12/04/2017/cftc-makes-disciplinary-procedures-recommendations-cme-group-exchanges2024-04-06T17:38Znever https://www.findknowdo.com/news/12/04/2017/sec-extends-exemptive-relief-regulation-nms-sub-penny-rule2022-12-31T20:02Znever https://www.findknowdo.com/news/12/04/2017/nfa-proposes-technical-amendments-registration-rule2024-04-05T19:35Znever https://www.findknowdo.com/news/12/04/2017/senate-passes-gop-tax-reform-bill-heads-conference-committee2021-06-21T15:56Znever https://www.findknowdo.com/news/12/05/2017/european-commission-reports-progress-reforming-regulatory-framework2022-12-03T16:44Znever https://www.findknowdo.com/news/12/05/2017/senate-banking-committee-advances-nominee-fed-chair2020-12-23T23:22Znever https://www.findknowdo.com/news/12/05/2017/nfa-proposes-amendments-rules-retail-forex-cost-disclosures2024-04-05T19:35Znever https://www.findknowdo.com/news/12/05/2017/sec-awards-over-4-million-foreign-national-whistleblower-tip2024-01-30T02:46Znever https://www.findknowdo.com/news/12/05/2017/european-commission-recognizes-u.s.-dcms-and-sefs-equivalent2024-04-06T17:38Znever https://www.findknowdo.com/news/12/06/2017/treasury-undersecretary-details-efforts-combat-financial-crimes2024-04-02T18:52Znever https://www.findknowdo.com/news/12/06/2017/senate-banking-committee-advances-bill-ease-banking-regulations2021-06-21T19:41Znever https://www.findknowdo.com/news/12/06/2017/nfa-increase-futures-and-options-assessment-fee2024-04-05T19:35Znever https://www.findknowdo.com/news/12/06/2017/ftc-seeks-block-merger-titanium-dioxide-producers2024-04-03T20:15Znever https://www.findknowdo.com/news/12/06/2017/sec-charges-brokers-making-unsuitable-recommendations-customers2020-12-15T06:47Znever https://www.findknowdo.com/news/12/06/2017/finra-requests-comments-proposed-record-expungement-procedures2024-04-12T12:44Znever https://www.findknowdo.com/news/12/07/2017/finra-provides-guidance-reporting-short-interest-positions2024-04-12T12:44Znever https://www.findknowdo.com/news/12/07/2017/cfpb-ombudsman-office-issues-annual-report-fy-20172024-04-12T17:10Znever https://www.findknowdo.com/news/12/07/2017/sec-extends-exemptive-relief-regulation-nms-sub-penny-rule2022-12-31T20:02Znever https://www.findknowdo.com/news/12/07/2017/frb-requests-comment-proposals-enhance-stress-testing-transparency2024-04-12T21:19Znever https://www.findknowdo.com/news/12/08/2017/sec-exempts-etf-series-certain-regulation-m-requirements2021-01-24T01:41Znever https://www.findknowdo.com/news/12/11/2017/sec-commissioner-offers-insights-mature-etp-market2022-08-30T19:08Znever https://www.findknowdo.com/news/12/08/2017/sec-provides-guidance-wrap-fee-programs2020-12-15T04:42Znever https://www.findknowdo.com/news/12/08/2017/president-trump-vows-pursue-charges-against-bank-mortgage-lending-abuses2020-12-15T04:21Znever https://www.findknowdo.com/news/12/08/2017/cftc-exempts-certain-eu-trading-platforms-sef-registration-requirement2024-04-06T17:38Znever https://www.findknowdo.com/news/12/11/2017/fca-supports-european-regulators-variation-margin-requirements-certain-fx-forwards2022-12-03T16:44Znever https://www.findknowdo.com/news/12/08/2017/u.s.-banking-agencies-support-finalization-international-capital-standards-reforms2024-04-12T21:35Znever https://www.findknowdo.com/news/12/08/2017/sec-delays-compliance-dates-form-n-port-filing2022-01-03T22:17Znever https://www.findknowdo.com/news/12/08/2017/finra-issues-report-broker-dealer-examinations2024-04-12T12:44Znever https://www.findknowdo.com/news/12/08/2017/frb-finalizes-plan-establish-new-repo-based-reference-rates2024-04-12T21:19Znever https://www.findknowdo.com/news/12/08/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/11/2017/sec-issues-cease-and-desist-order-shutting-down-ico2021-02-01T19:56Znever https://www.findknowdo.com/news/12/11/2017/msrb-collect-additional-fee-data-about-college-savings-and-able-programs2024-04-12T00:19Znever https://www.findknowdo.com/news/12/11/2017/cftc-issues-guidance-cta-registration-requirements-arising-mifid-ii-research-payment-provisions2024-04-06T17:38Znever https://www.findknowdo.com/news/12/11/2017/sec-chair-jay-clayton-urges-caution-regarding-icos-and-cryptocurrencies2023-06-04T13:02Znever https://www.findknowdo.com/news/12/12/2017/cftc-proposes-allow-certain-dcos-invest-customer-funds-sovereign-debt2024-04-06T17:38Znever https://www.findknowdo.com/news/12/12/2017/sec-appoints-new-leadership-pcaob2022-12-03T00:35Znever https://www.findknowdo.com/news/12/13/2017/sec-permits-fund-file-post-effective-amendments-registration-statement2021-01-24T01:50Znever https://www.findknowdo.com/news/12/13/2017/office-financial-research-identifies-three-growing-risks-financial-stability2022-07-27T19:43Znever https://www.findknowdo.com/news/12/13/2017/investor-alert-provides-guidance-sec-rulemaking-process2020-12-03T17:28Znever https://www.findknowdo.com/news/12/13/2017/nasaa-identifies-current-and-emerging-threats2024-02-03T22:51Znever https://www.findknowdo.com/news/12/14/2017/federal-register-sec-delays-compliance-dates-form-n-port-filing2022-01-03T22:17Znever https://www.findknowdo.com/news/12/14/2017/fdic-and-european-single-resolution-board-sign-cooperation-arrangement-resolution-planning2024-04-12T19:03Znever https://www.findknowdo.com/news/12/14/2017/cftc-requests-comment-proposal-create-new-type-clearing-membership2024-04-06T17:38Znever https://www.findknowdo.com/news/12/14/2017/house-subcommittee-examines-cfius-new-bipartisan-legislation-would-expand-authority2020-12-24T14:24Znever https://www.findknowdo.com/news/12/14/2017/therapist-settles-charges-insider-trading-based-information-obtained-through-counseling2020-12-15T03:04Znever https://www.findknowdo.com/news/12/14/2017/sec-names-chief-operating-officer2020-12-23T23:22Znever https://www.findknowdo.com/news/12/15/2017/weekly-roundup-exchange-rules-category2020-12-27T14:33Znever https://www.findknowdo.com/news/12/15/2017/fsoc-makes-recommendations-enhance-financial-stability2024-01-31T02:34Znever https://www.findknowdo.com/news/12/15/2017/cftc-identifies-unregistered-foreign-entities-accused-binary-options-forex-trading-solicitations2024-04-06T17:38Znever https://www.findknowdo.com/news/12/15/2017/cftc-extends-relief-clearing-and-trade-execution-requirements-certain-inter-affiliate-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/12/18/2017/federal-register-frb-requests-comment-proposals-enhance-stress-testing-transparency2024-04-12T21:19Znever https://www.findknowdo.com/news/12/15/2017/cftc-requests-comment-proposed-interpretation-actual-delivery-virtual-currency-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/12/18/2017/sec-approves-msrb-amendments-cusip-requirements2024-04-12T00:19Znever https://www.findknowdo.com/news/12/18/2017/frb-repeals-duplicative-home-mortgage-disclosure-regulations2024-04-12T21:19Znever https://www.findknowdo.com/news/12/18/2017/fdic-reviews-response-financial-crisis2024-04-12T19:03Znever https://www.findknowdo.com/news/12/18/2017/sec-names-director-new-york-regional-office2020-12-23T23:22Znever https://www.findknowdo.com/news/12/19/2017/federal-register-cftc-proposes-allow-certain-dcos-invest-customer-funds-sovereign-debt2024-04-06T17:38Znever https://www.findknowdo.com/news/12/20/2017/finra-fines-broker-dealer-1.4-million-extended-settlement-transactions2024-04-12T12:44Znever https://www.findknowdo.com/news/12/19/2017/nfa-reminds-firms-forthcoming-reporting-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/12/19/2017/federal-appeals-court-vacates-dismissal-high-frequency-trading-suit-against-major-exchanges2022-11-16T01:06Znever https://www.findknowdo.com/news/12/19/2017/cme-europe-withdraws-registration-foreign-board-trade2024-04-06T17:38Znever https://www.findknowdo.com/news/12/20/2017/sec-charges-broker-illegal-ipo-kickback-scheme2020-12-15T05:44Znever https://www.findknowdo.com/news/12/20/2017/no-deficiencies-found-revised-resolution-plans-eight-large-domestic-banks2024-04-12T21:19Znever https://www.findknowdo.com/news/12/20/2017/sec-permanently-extends-no-action-relief-related-custody-requirements2022-08-30T19:10Znever https://www.findknowdo.com/news/12/20/2017/finra-board-approves-2018-budget-and-various-rulemaking-proposals2024-04-12T12:44Znever https://www.findknowdo.com/news/12/20/2017/federal-register-cftc-requests-comment-proposed-interpretation-actual-delivery-virtual-currency-transactions2024-04-06T17:38Znever https://www.findknowdo.com/news/12/21/2017/broker-dealer-fined-2-million-improper-monitoring-employee-email-communications2024-04-12T12:44Znever https://www.findknowdo.com/news/12/21/2017/sec-enforcement-division-associate-director-leave-agency2020-12-23T23:22Znever https://www.findknowdo.com/news/12/22/2017/a-cabinet-christmas-medley-you2024-02-04T04:11Znever https://www.findknowdo.com/news/12/22/2017/cfpb-delay-effective-date-prepaid-rule2024-04-12T17:10Znever https://www.findknowdo.com/news/12/22/2017/senate-confirms-two-sec-nominees2020-12-23T23:21Znever https://www.findknowdo.com/news/12/22/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/22/2017/sec-grants-no-action-relief-certain-etf-disclosure-requirements2023-04-25T22:36Znever https://www.findknowdo.com/news/12/26/2017/sec-provides-guidance-accounting-impacts-tax-reform-bill2020-12-15T04:33Znever https://www.findknowdo.com/news/12/26/2017/sec-charges-lawyer-and-accountant-aiding-and-abetting-fraudulent-scheme2020-12-15T06:36Znever https://www.findknowdo.com/news/12/27/2017/finra-fines-broker-dealer-custody-violations2024-04-12T12:44Znever https://www.findknowdo.com/news/12/27/2017/sec-lists-top-10-investor-bulletins-20172020-12-15T03:50Znever https://www.findknowdo.com/news/12/28/2017/finra-sanctions-firm-disseminating-inaccurate-equities-research-information2024-04-12T12:44Znever https://www.findknowdo.com/news/12/28/2017/new-years-playlist2024-02-04T04:11Znever https://www.findknowdo.com/news/12/29/2017/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/12/29/2017/finra-reviews-corporate-actions-affect-investments2024-04-12T12:44Znever https://www.findknowdo.com/news/01/02/2018/occ-names-deputy-comptroller-economic-and-policy-analysis2024-04-12T21:35Znever https://www.findknowdo.com/news/01/02/2018/cftc-solicits-comments-new-recordkeeping-system-labcftc2024-04-06T17:38Znever https://www.findknowdo.com/news/01/02/2018/treasury-proposes-extending-compliance-dates-certain-qfc-recordkeeping-requirements2024-04-12T19:03Znever https://www.findknowdo.com/news/01/02/2018/sec-reports-positive-developments-credit-rating-agencies2024-01-31T14:59Znever https://www.findknowdo.com/news/01/03/2018/senate-finance-committee-chair-senator-orrin-hatch-retire2020-12-23T23:21Znever https://www.findknowdo.com/news/01/02/2018/new-trace-reports-available-february-1st2024-04-12T12:44Znever https://www.findknowdo.com/news/01/03/2018/finra-notifies-firms-reconcile-final-statements2024-04-12T12:44Znever https://www.findknowdo.com/news/01/03/2018/federal-register-frb-proposes-amendment-regulation-m2024-04-12T21:19Znever https://www.findknowdo.com/news/01/03/2018/msrb-summarizes-regulatory-guidance-filtering-practices2024-04-12T00:19Znever https://www.findknowdo.com/news/01/03/2018/former-hedge-fund-director-indicted-investment-advisor-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/01/03/2018/new-chair-and-board-member-sworn-pcaob2022-12-03T02:18Znever https://www.findknowdo.com/news/01/03/2018/u.s.-attorney-general-appoints-interim-u.s.-attorney-sdny2024-04-03T19:49Znever https://www.findknowdo.com/news/01/04/2018/banker-convicted-conspiring-evade-u.s.-sanctions-against-iran2024-04-03T19:49Znever https://www.findknowdo.com/news/01/04/2018/former-transition-management-executive-barred-and-fined-overcharging-clients2020-12-15T04:23Znever https://www.findknowdo.com/news/01/04/2018/nasaa-urges-investors-approach-cryptocurrency-related-investment-products-caution2024-02-03T22:51Znever https://www.findknowdo.com/news/01/04/2018/chair-giancarlo-outlines-cftc-approach-virtual-currency-regulation2024-04-06T17:38Znever https://www.findknowdo.com/news/01/04/2018/frb-proposes-guidance-risk-management-supervisory-expectations-large-financial-institutions2024-04-12T21:19Znever https://www.findknowdo.com/news/01/05/2018/attorney-sanctioned-opinion-letters-registration-exemption2020-12-15T06:31Znever https://www.findknowdo.com/news/01/05/2018/finra-delay-application-rules-security-based-swaps2024-04-12T12:44Znever https://www.findknowdo.com/news/01/05/2018/bank-fined-70-million-aml-deficiencies2024-04-12T21:35Znever https://www.findknowdo.com/news/01/05/2018/key-appointments-made-southern-and-eastern-districts-new-york2024-04-03T19:49Znever https://www.findknowdo.com/news/01/08/2018/sec-charges-advisor-fraud-related-municipal-bond-offering2023-05-22T22:52Znever https://www.findknowdo.com/news/01/08/2018/msrb-add-five-new-board-members2024-04-12T00:19Znever https://www.findknowdo.com/news/01/08/2018/finra-proposes-new-liquidity-reporting-requirements2024-04-12T12:44Znever https://www.findknowdo.com/news/01/09/2018/finra-highlights-2018-compliance-supervisory-and-risk-management-priorities2024-04-12T12:44Znever https://www.findknowdo.com/news/01/09/2018/ny-fed-senior-vp-describes-transition-away-libor2024-04-12T21:19Znever https://www.findknowdo.com/news/01/09/2018/cftc-amends-disciplinary-regulations2024-04-06T17:38Znever https://www.findknowdo.com/news/01/09/2018/senate-agriculture-committee-supports-cftc-position-cross-border-clearinghouse-regulation2024-04-06T17:38Znever https://www.findknowdo.com/news/01/10/2018/nfa-provides-guidance-member-obligations-regarding-cpo/cta-registration-exemptions2024-04-05T19:35Znever https://www.findknowdo.com/news/01/10/2018/house-subcommittee-evaluates-cfius-operations-and-authority2023-04-05T16:31Znever https://www.findknowdo.com/news/01/10/2018/fdic-provides-guidance-credit-management-information-systems2024-04-12T19:03Znever https://www.findknowdo.com/news/01/10/2018/frb-announces-chair-and-deputy-chair-appointments-federal-reserve-banks2024-04-12T21:19Znever https://www.findknowdo.com/news/01/10/2018/fdic-credit-and-consumer-products-survey-warns-increasing-risk2024-04-12T19:03Znever https://www.findknowdo.com/news/01/11/2018/finra-updates-interpretations-certain-rules-concerning-t2-settlement-cycle2024-04-12T12:44Znever https://www.findknowdo.com/news/01/11/2018/cftc-approves-amendments-rules-retail-forex-cost-disclosures2024-04-05T19:35Znever https://www.findknowdo.com/news/01/11/2018/district-court-again-sides-president-trump-fight-over-cfpb-appointment2020-12-23T23:22Znever https://www.findknowdo.com/news/01/11/2018/sec-names-deputy-chief-economist2020-12-23T23:22Znever https://www.findknowdo.com/news/01/12/2018/new-sec-commissioners-sworn2020-12-23T23:22Znever https://www.findknowdo.com/news/01/12/2018/sec-advisory-committee-considers-bond-market-liquidity2020-09-28T15:10Znever https://www.findknowdo.com/news/01/12/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/12/2018/sec-requests-comments-form-pf2021-01-24T05:23Znever https://www.findknowdo.com/news/01/12/2018/supreme-court-consider-sec-appointment-administrative-law-judges2019-12-19T22:31Znever https://www.findknowdo.com/news/01/16/2018/finra-publishes-content-outline-securities-industry-essentials-exam2024-04-12T12:44Znever https://www.findknowdo.com/news/01/16/2018/banks-accused-manipulating-derivatives-benchmark2024-04-06T17:38Znever https://www.findknowdo.com/news/01/17/2018/cfpb-reconsider-payday-lending-rule2024-04-12T17:10Znever https://www.findknowdo.com/news/01/17/2018/cftc-chair-giancarlo-names-senior-counsel2024-04-06T17:38Znever https://www.findknowdo.com/news/01/17/2018/cfpb-director-seeks-input-operations2024-04-12T17:10Znever https://www.findknowdo.com/news/01/17/2018/international-bank-fined-29-million-bsa/aml-deficiencies2024-04-12T21:19Znever https://www.findknowdo.com/news/01/18/2018/iosco-warns-about-risks-associated-icos2021-01-16T19:11Znever https://www.findknowdo.com/news/01/18/2018/finra-publishes-guiding-principles-and-operating-budget2024-04-12T12:44Znever https://www.findknowdo.com/news/01/18/2018/banking-regulators-provide-guidance-effects-new-tax-law2024-04-12T21:35Znever https://www.findknowdo.com/news/01/18/2018/cfpb-director-says-agency-fully-funded2024-04-12T17:10Znever https://www.findknowdo.com/news/01/19/2018/msrb-proposes-new-advertising-rule-municipal-advisors-and-updates-dealer-advertising-rule2024-04-12T00:19Znever https://www.findknowdo.com/news/01/19/2018/sec-and-cftc-vow-pursue-cryptocurrency-related-fraud-cftc-initiates-two-enforcement-actions2024-04-06T17:38Znever https://www.findknowdo.com/news/01/19/2018/sec-halts-cryptocurrency-fund-registration2022-07-04T17:46Znever https://www.findknowdo.com/news/01/22/2018/bank-pay-over-100-million-resolve-fx-price-fixing-fraud-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/01/19/2018/frb-vice-chair-explains-plan-tailored-banking-supervision2024-04-12T21:19Znever https://www.findknowdo.com/news/01/22/2018/cftc-chair-giancarlo-details-risks-virtual-currency2024-04-06T17:38Znever https://www.findknowdo.com/news/01/22/2018/sec-adopts-rule-treatment-securities-based-swaps-communications2020-12-15T04:51Znever https://www.findknowdo.com/news/01/19/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/22/2018/occ-highlights-key-risk-themes-semiannual-report2024-04-12T21:35Znever https://www.findknowdo.com/news/01/23/2018/sec-leaders-debate-current-issues-shareholder-engagement2020-12-15T05:43Znever https://www.findknowdo.com/news/01/22/2018/sec-charges-accountants-using-leaked-pcaob-information2022-12-03T00:35Znever https://www.findknowdo.com/news/01/23/2018/sec-chair-warns-securities-lawyers-about-appropriate-legal-advice-icos2021-02-01T19:56Znever https://www.findknowdo.com/news/01/23/2018/cftc-commissioner-benham-names-legal-team2024-04-06T17:38Znever https://www.findknowdo.com/news/01/24/2018/senate-confirms-new-fed-chair2020-12-23T23:23Znever https://www.findknowdo.com/news/01/24/2018/cftc-charges-company-fraud-connection-virtual-currency-offering2024-04-06T17:38Znever https://www.findknowdo.com/news/01/24/2018/cfpb-acting-director-promises-restrained-approach2024-04-12T17:10Znever https://www.findknowdo.com/news/01/24/2018/sec-grants-foreign-issuers-exemption-certain-regulation-m-provisions2023-06-10T18:23Znever https://www.findknowdo.com/news/01/25/2018/sec-and-cftc-chairs-vow-careful-regulation-cryptocurrency-markets2024-04-06T17:38Znever https://www.findknowdo.com/news/01/25/2018/cfpb-seeks-public-input-investigative-demands-process2024-04-12T17:10Znever https://www.findknowdo.com/news/01/25/2018/sifma-tells-msrb-better-explain-rules2021-01-13T20:58Znever https://www.findknowdo.com/news/01/25/2018/sec-asks-firms-complete-diversity-policy-self-assessments2020-12-15T02:58Znever https://www.findknowdo.com/news/01/26/2018/bank-agrees-pay-penalty-antitrust-violations-connection-fx-currency-rigging2024-04-03T19:49Znever https://www.findknowdo.com/news/01/26/2018/president-trump-nominates-four-federal-trade-commission2024-04-03T20:15Znever https://www.findknowdo.com/news/01/26/2018/cfpb-amends-delays-effective-date-prepaid-rule2024-04-12T17:09Znever https://www.findknowdo.com/news/01/26/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/01/29/2018/banks-settle-cftc-spoofing-charges2024-04-06T17:38Znever https://www.findknowdo.com/news/01/29/2018/agencies-provide-feedback-foreign-bank-resolution-plans2024-04-12T21:19Znever https://www.findknowdo.com/news/01/29/2018/finra-and-isg-extend-effective-date-large-trader-reporting-data-elements2024-04-12T12:43Znever https://www.findknowdo.com/news/01/30/2018/treasury-releases-list-russian-elites2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/01/30/2018/cftc-commissioner-urges-reconsideration-bona-fide-hedging-provisions-position-limits-proposal2024-04-06T17:38Znever https://www.findknowdo.com/news/01/30/2018/sec-shuts-down-ico2020-12-15T05:06Znever https://www.findknowdo.com/news/01/30/2018/finra-proposes-new-intermediate-arbitration-hearing-option-small-claims2024-04-12T12:43Znever https://www.findknowdo.com/news/01/30/2018/sec-enforcements-chief-accountant-leave-agency2020-12-23T23:22Znever https://www.findknowdo.com/news/01/31/2018/house-subcommittee-examines-fintech-regulation2020-12-15T04:44Znever https://www.findknowdo.com/news/01/31/2018/cftc-market-risk-advisory-committee-examines-self-certification-process2024-04-06T17:38Znever https://www.findknowdo.com/news/01/31/2018/congressional-democrats-challenge-cfpb-reversal-payday-rule2020-12-15T06:51Znever https://www.findknowdo.com/news/01/31/2018/federal-appeals-court-rules-cfpb-structure-constitutional2022-11-16T01:06Znever https://www.findknowdo.com/news/01/31/2018/occ-publishes-updated-booklet-msrb-rules2024-04-12T21:35Znever https://www.findknowdo.com/news/02/01/2018/cftc-chair-unveils-new-measure-swaps-market-size-and-risk2024-04-06T17:38Znever https://www.findknowdo.com/news/02/02/2018/iosco-issues-recommendations-fund-liquidity-risk-management2021-01-24T05:09Znever https://www.findknowdo.com/news/02/01/2018/senate-agriculture-committee-presses-cftc-information-cryptocurrency-futures2020-12-15T06:52Znever https://www.findknowdo.com/news/02/01/2018/finra-reorganizes-advisory-committees-encourage-input2024-04-12T12:43Znever https://www.findknowdo.com/news/02/01/2018/frb-releases-stress-testing-scenarios2024-04-12T21:19Znever https://www.findknowdo.com/news/02/01/2018/not-just-another-day2024-02-04T04:11Znever https://www.findknowdo.com/news/02/05/2018/fcm-settles-cftc-benchmark-manipulation-charges2024-04-06T17:38Znever https://www.findknowdo.com/news/02/02/2018/cftc-commissioner-encourages-swap-data-reporting-enhancements2024-04-06T17:38Znever https://www.findknowdo.com/news/02/02/2018/sec-publishes-bulletins-investors-municipal-securities2020-12-15T03:57Znever https://www.findknowdo.com/news/02/02/2018/trade-groups-highlight-challenges-transitioning-alternative-reference-rates2021-01-15T00:22Znever https://www.findknowdo.com/news/02/02/2018/sec-extends-relief-requests-comment-security-based-swap-exemptions2021-02-01T19:56Znever https://www.findknowdo.com/news/02/02/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/05/2018/federal-register-cfpb-seeks-public-input-investigative-demands-process2024-04-12T17:09Znever https://www.findknowdo.com/news/02/05/2018/new-finra-rules-protect-senior-investors-take-effect2024-04-12T12:43Znever https://www.findknowdo.com/news/02/05/2018/sec-requests-comments-msrb-proposal-advertising-municipal-advisors-and-dealers2024-04-12T00:19Znever https://www.findknowdo.com/news/02/05/2018/jerome-powell-sworn-fed-chair2020-12-23T23:22Znever https://www.findknowdo.com/news/02/05/2018/prudential-regulators-propose-amendments-swap-margin-rules2024-04-12T21:35Znever https://www.findknowdo.com/news/02/06/2018/broker-dealer-settles-charges-violating-customer-protection-and-net-capital-rules2024-04-12T12:43Znever https://www.findknowdo.com/news/02/06/2018/sec-and-cftc-leaders-vow-cooperate-virtual-currency-regulation2024-04-06T17:38Znever https://www.findknowdo.com/news/02/06/2018/occ-and-fdic-release-stress-testing-scenarios2024-04-12T21:35Znever https://www.findknowdo.com/news/02/07/2018/finra-requests-comments-applicability-certain-rules-government-and-other-debt-securities2024-04-12T12:43Znever https://www.findknowdo.com/news/02/07/2018/comptroller-expresses-support-acting-cfpb-director2024-04-12T21:35Znever https://www.findknowdo.com/news/02/07/2018/cfpb-director-names-chief-staff2024-04-12T17:09Znever https://www.findknowdo.com/news/02/07/2018/minnesota-senator-urges-ftc-ramp-equifax-investigation2024-04-03T20:15Znever https://www.findknowdo.com/news/02/07/2018/sec-ocie-announces-2018-examination-priorities2020-12-23T17:59Znever https://www.findknowdo.com/news/02/07/2018/bank-pleads-guilty-aml-violations-impeding-occ-investigation2024-04-12T21:35Znever https://www.findknowdo.com/news/02/08/2018/finra-proposes-rule-changes-incentivize-payment-arbitration-awards2024-04-12T12:43Znever https://www.findknowdo.com/news/02/08/2018/finra-calls-attention-customer-recovery-issues2024-04-12T12:43Znever https://www.findknowdo.com/news/02/09/2018/hearing-set-ftc-commissioners2020-12-23T23:22Znever https://www.findknowdo.com/news/02/09/2018/federal-register-sec-extends-certain-security-based-swap-relief-extensions-requests-comments2021-02-01T19:56Znever https://www.findknowdo.com/news/02/08/2018/ny-dfs-issues-anti-fraud-guidance-virtual-currency-entities2024-02-03T23:12Znever https://www.findknowdo.com/news/02/09/2018/federal-register-comments-requested-msrb-rule-proposal-advertising2024-04-12T00:19Znever https://www.findknowdo.com/news/02/09/2018/fincen-solicits-comments-renewal-bank-secrecy-act-regulations2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/02/09/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/09/2018/senate-banking-committee-approves-three-trump-nominees2024-04-12T21:19Znever https://www.findknowdo.com/news/02/09/2018/thirty-two-senators-sign-letter-cfpb-questioning-status-equifax-investigation2024-04-12T17:09Znever https://www.findknowdo.com/news/02/09/2018/d.c.-court-appeals-decides-exempt-clos-dodd-frank-risk-retention-rules2022-11-16T01:06Znever https://www.findknowdo.com/news/02/12/2018/cftc-chief-staff-identifies-areas-regulatory-improvement2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/02/12/2018/finra-proposes-examination-revisions2024-04-12T12:43Znever https://www.findknowdo.com/news/02/12/2018/fcm-settles-cftc-over-supervision-failures-related-customer-records2024-04-06T17:38Znever https://www.findknowdo.com/news/02/12/2018/cftc-grants-fbot-registration-ice-futures-singapore2024-04-06T17:38Znever https://www.findknowdo.com/news/02/12/2018/fincen-updates-list-jurisdictions-aml/cft-regime-deficiencies2024-04-02T18:52Znever https://www.findknowdo.com/news/02/12/2018/treasury-issues-strategic-plan-fy-2018-20222024-04-02T19:48Znever https://www.findknowdo.com/news/02/14/2018/broker-dealer-pays-fine-cmbs-sales2020-12-15T06:52Znever https://www.findknowdo.com/news/02/13/2018/sec-seeks-expanded-budget-fy-20192019-04-03T18:54Znever https://www.findknowdo.com/news/02/13/2018/cftc-commissioner-highlights-market-risk-advisory-committee-priorities2024-04-06T17:38Znever https://www.findknowdo.com/news/02/13/2018/cftc-budget-request-includes-derivatives-user-fees2024-04-06T17:38Znever https://www.findknowdo.com/news/02/13/2018/ftc-submits-fy-2019-budget-request2024-04-03T20:15Znever https://www.findknowdo.com/news/02/14/2018/sec-enforcement-division-launches-share-class-selection-disclosure-initiative2022-01-03T01:29Znever https://www.findknowdo.com/news/02/14/2018/white-house-calls-cfpb-restructuring2024-04-12T17:09Znever https://www.findknowdo.com/news/02/13/2018/new-fed-chair-vows-vigilance-preserving-financial-stability2024-04-12T21:19Znever https://www.findknowdo.com/news/02/14/2018/iosco-proposes-additional-policies-protect-retail-investors-otc-leveraged-products2024-02-08T02:29Znever https://www.findknowdo.com/news/02/14/2018/sec-division-director-vows-support-ipos2020-12-15T02:23Znever https://www.findknowdo.com/news/02/14/2018/federal-register-cfpb-amends-delays-effective-date-prepaid-rule2024-04-12T17:09Znever https://www.findknowdo.com/news/02/14/2018/treasury-proposes-repeal-298-outdated-tax-regulations2026-04-15T21:06Zyearly https://www.findknowdo.com/news/02/15/2018/finra-announces-updates-regulatory-extension-system2024-04-12T12:43Znever https://www.findknowdo.com/news/02/15/2018/cftc-chair-reaffirms-support-cross-border-deference-clearinghouse-regulation2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/02/15/2018/cftc-advisory-committee-examines-emerging-technology2024-04-06T17:38Znever https://www.findknowdo.com/news/02/15/2018/sec-allows-fund-file-post-effective-amendments-registration-statement2021-01-24T01:50Znever https://www.findknowdo.com/news/02/15/2018/bank-pay-over-600-million-bsa/aml-violations2024-04-12T21:35Znever https://www.findknowdo.com/news/02/15/2018/msrb-seeks-public-input-compliance-obligations-non-solicitor-municipal-advisors2024-04-12T00:19Znever https://www.findknowdo.com/news/02/16/2018/house-subcommittee-examines-derivatives-proposals2021-01-15T00:22Znever https://www.findknowdo.com/news/02/15/2018/nasaa-survey-finds-millenials-most-vulnerable-fintech-fraud2024-02-03T22:51Znever https://www.findknowdo.com/news/02/15/2018/cftc-simplifies-list-defined-terms2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/02/15/2018/sec-names-chief-accountant-division-corporation-finance2020-12-23T23:22Znever https://www.findknowdo.com/news/02/20/2018/sec-suspends-trading-three-companies-over-cryptocurrency-related-claims2022-11-21T16:23Znever https://www.findknowdo.com/news/02/16/2018/ftc-returns-nearly-3-million-consumers-harmed-payday-lending-scheme2024-04-03T20:15Znever https://www.findknowdo.com/news/02/16/2018/cftc-alerts-investors-pump-and-dump-virtual-currency-schemes2024-04-06T17:38Znever https://www.findknowdo.com/news/02/16/2018/cftc-provides-registration-exemption-certain-introducing-brokers-and-associated-persons2024-04-06T17:38Znever https://www.findknowdo.com/news/02/17/2018/sec-commissioner-questions-perpetual-dual-class-stock-ownership-structures2020-12-15T04:22Znever https://www.findknowdo.com/news/02/17/2022/presidents-day-playlist2024-02-04T04:09Znever https://www.findknowdo.com/news/02/20/2018/cftc-and-uk-financial-conduct-authority-sign-fintech-collaboration-arrangement2024-04-06T17:38Znever https://www.findknowdo.com/news/02/20/2018/fdic-chair-urges-continued-vigilance-resolution-planning2024-04-12T19:03Znever https://www.findknowdo.com/news/02/20/2018/cftc-extends-no-action-relief-certain-dcos-reporting-obligations2024-04-06T17:38Znever https://www.findknowdo.com/news/02/20/2018/frb-seeks-fine-and-ban-former-head-fx-spot-trading-desk2024-04-12T21:19Znever https://www.findknowdo.com/news/02/20/2018/fdic-publishes-fy-2017-annual-report2024-04-12T19:03Znever https://www.findknowdo.com/news/02/20/2018/attorney-general-creates-cyber-digital-task-force2024-04-03T19:49Znever https://www.findknowdo.com/news/02/21/2018/supreme-court-rules-internal-whistleblowers-are-not-protected-under-dodd-frank2024-01-30T02:46Znever https://www.findknowdo.com/news/02/21/2018/federal-register-prudential-regulators-propose-amendments-swap-margin-rules2024-04-12T21:35Znever https://www.findknowdo.com/news/02/21/2018/treasury-recommends-ola-and-bankruptcy-reforms2024-04-02T19:48Znever https://www.findknowdo.com/news/02/21/2018/msrb-reports-steady-activity-municipal-securities-market-20172024-04-12T00:19Znever https://www.findknowdo.com/news/02/22/2018/finra-proposes-rule-eliminate-a-fee-arbitration-procedures2024-04-12T12:43Znever https://www.findknowdo.com/news/02/22/2018/sec-files-complaint-against-cryptocurrency-exchange-misappropriating-funds-and-misleading-investors2022-07-02T22:31Znever https://www.findknowdo.com/news/02/22/2018/sec-provides-new-guidance-public-companies-cybersecurity-disclosure-obligations2023-06-04T12:49Znever https://www.findknowdo.com/news/02/22/2018/sec-extends-compliance-deadline-open-end-fund-liquidity-risk-management-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/02/22/2018/nfa-board-directors-reelects-leadership-team2024-04-05T19:35Znever https://www.findknowdo.com/news/02/23/2018/cftc-extends-relief-registration-requirements-chinese-dco2024-04-06T17:38Znever https://www.findknowdo.com/news/02/23/2018/occ-makes-technical-changes-stress-testing-rule2024-04-12T21:35Znever https://www.findknowdo.com/news/02/23/2018/federal-register-cftc-alphabetizes-defined-terms2024-04-06T17:38Znever https://www.findknowdo.com/news/02/23/2018/sec-commissioner-urges-caution-when-selling-complex-financial-products-retail-investors2022-06-18T20:01Znever https://www.findknowdo.com/news/02/23/2018/ofac-imposes-sanctions-disrupt-north-korean-maritime-activities2024-03-06T23:34Znever https://www.findknowdo.com/news/02/26/2018/occ-revises-background-investigations-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/02/23/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/02/26/2018/sec-investor-advocate-objects-mandatory-arbitration-shareholder-class-actions2023-04-24T22:39Znever https://www.findknowdo.com/news/02/26/2018/federal-register-sec-provides-guidance-public-companies-cybersecurity-disclosure-obligations2023-06-04T12:49Znever https://www.findknowdo.com/news/02/27/2018/cftc-commissioner-questions-effectiveness-one-size-fits-all-derivatives-regulations2024-04-06T17:38Znever https://www.findknowdo.com/news/02/27/2018/finra-requests-comments-proposed-rule-relating-member-firm-employees-outside-activities2024-04-12T12:43Znever https://www.findknowdo.com/news/02/27/2018/sec-commissioner-opposes-mandatory-arbitration-provisions-ipos2022-06-18T20:01Znever https://www.findknowdo.com/news/02/27/2018/frb-proposes-changes-appeals-process-material-supervisory-determinations2024-04-12T21:18Znever https://www.findknowdo.com/news/02/27/2018/federal-register-sec-extends-compliance-deadline-open-end-fund-liquidity-risk-management-requirements2021-11-25T16:48Znever https://www.findknowdo.com/news/02/28/2018/finra-highlights-differences-between-etfs-and-mutual-funds2024-04-12T12:43Znever https://www.findknowdo.com/news/02/28/2018/ny-fed-begin-publishing-alternative-repo-based-reference-rates2024-04-12T21:18Znever https://www.findknowdo.com/news/02/28/2018/broker-dealer-settles-charges-overcharging-customers-mutual-fund-shares2022-06-18T20:01Znever https://www.findknowdo.com/news/02/28/2018/accounting-firm-pay-150-million-connection-audits-failed-mortgage-lender2024-04-03T19:49Znever https://www.findknowdo.com/news/02/28/2018/gao-identifies-deficiencies-rule-reviews-financial-regulators2024-01-30T19:23Znever https://www.findknowdo.com/news/03/01/2018/cme-group-launch-sofr-futures2024-04-05T18:43Znever https://www.findknowdo.com/news/03/01/2018/cftc-grants-cpo-relief-quarterly-account-statement-filing2024-04-06T17:38Znever https://www.findknowdo.com/news/03/02/2018/introducing-broker-and-fcm-settle-nfa-charges-engaging-harmful-sales-and-trading-practices2024-04-05T19:35Znever https://www.findknowdo.com/news/03/01/2018/treasury-provide-guidance-carried-interest-under-tax-cuts-and-jobs-act2024-04-04T18:51Znever https://www.findknowdo.com/news/03/01/2018/cfpb-requests-information-consumer-complaint-reporting-practices2024-04-12T17:09Znever https://www.findknowdo.com/news/03/02/2018/frb-secure-payments-task-force-disband2024-04-12T21:18Znever https://www.findknowdo.com/news/03/02/2018/sec-sues-uk-brokerage-firm-manipulating-microcap-stock2022-06-18T20:01Znever https://www.findknowdo.com/news/03/02/2018/sec-charges-long-island-town-attorney-defrauding-investors2024-02-05T01:50Znever https://www.findknowdo.com/news/03/02/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/05/2018/fdic-revises-credit-rating-references-international-banking-regulations2024-04-12T19:03Znever https://www.findknowdo.com/news/03/05/2018/former-trader-fined-and-banned-libor-manipulation2022-11-09T18:36Znever https://www.findknowdo.com/news/03/05/2018/congressional-republicans-file-amicus-brief-supporting-president-trump-fight-over-cfpb-appointment2020-12-24T15:32Znever https://www.findknowdo.com/news/03/06/2018/ofac-issues-new-north-korea-sanctions-regulations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/03/05/2018/former-hedge-fund-manager-barred-securities-industry-inflating-asset-values2020-12-15T05:14Znever https://www.findknowdo.com/news/03/05/2018/ffiec-amends-home-mortgage-disclosure-act-reporting-guide2022-10-28T12:30Znever https://www.findknowdo.com/news/03/06/2018/frb-vice-chairman-says-regulators-considering-volcker-rule-changes2024-04-12T21:18Znever https://www.findknowdo.com/news/03/06/2018/arrc-outlines-plan-transition-away-libor2024-04-12T21:18Znever https://www.findknowdo.com/news/03/06/2018/federal-register-cfpb-requests-information-consumer-complaint-reporting-practices2024-04-12T17:09Znever https://www.findknowdo.com/news/03/06/2018/frb-requests-comments-proposal-concerning-electronic-check-and-fund-collection2024-04-12T21:18Znever https://www.findknowdo.com/news/03/06/2018/exchanges-pay-14-million-settle-multiple-sec-charges2022-11-20T15:53Znever https://www.findknowdo.com/news/03/07/2018/cftc-chair-defends-fy-2019-budget-request-house-ag-subcommittee2024-04-06T17:38Znever https://www.findknowdo.com/news/03/07/2018/finra-updates-designation-criteria-business-continuity-and-disaster-recovery-testing2024-04-12T12:43Znever https://www.findknowdo.com/news/03/07/2018/sec-reminds-online-digital-asset-trading-platforms-compliance-responsibilities2022-07-02T22:31Znever https://www.findknowdo.com/news/03/07/2018/federal-judge-recognizes-cftc-jurisdiction-over-virtual-currency-fraud2024-04-06T17:38Znever https://www.findknowdo.com/news/03/07/2018/iosco-recommends-trading-venues-adopt-mechanisms-control-volatility2022-11-21T16:23Znever https://www.findknowdo.com/news/03/07/2018/cftc-officials-provide-project-kiss-update2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/03/08/2018/sec-commissioner-encourages-regtech-innovation-and-focus-cybersecurity2022-06-18T20:01Znever https://www.findknowdo.com/news/03/09/2018/sec-chairman-highlights-pressing-matters-affecting-retail-investors2022-06-18T20:01Znever https://www.findknowdo.com/news/03/08/2018/broker-dealer-settles-sec-charges-related-unregistered-sales-securities2020-12-15T06:58Znever https://www.findknowdo.com/news/03/09/2018/report-frb-staff-highlights-risks-nonbank-mortgage-lending2024-04-12T21:18Znever https://www.findknowdo.com/news/03/08/2018/cftc-commissioner-calls-creation-cryptocurrency-sro2024-04-06T17:38Znever https://www.findknowdo.com/news/03/09/2018/sec-charges-public-relations-employee-insider-trading2022-06-18T20:01Znever https://www.findknowdo.com/news/03/09/2018/sec-bans-penny-stock-company-president-attempted-pump-and-dump-scheme2021-01-06T23:13Znever https://www.findknowdo.com/news/03/09/2018/investment-advisers-settle-sec-charges-failure-disclose-conflict-interest2022-06-18T20:01Znever https://www.findknowdo.com/news/03/09/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/15/2018/law-professors-urge-supreme-court-overturn-conviction-spoofing-case2024-04-06T17:38Znever https://www.findknowdo.com/news/03/12/2018/nfa-charges-introducing-broker-recordkeeping-and-supervisory-violations2024-04-05T19:35Znever https://www.findknowdo.com/news/03/12/2018/nfa-charges-cta-disclosure-and-recordkeeping-violations2024-04-05T19:35Znever https://www.findknowdo.com/news/03/12/2018/iosco-issues-recommendations-protect-senior-investors2022-06-18T20:01Znever https://www.findknowdo.com/news/03/13/2018/msrb-provides-guidance-minimum-denominations2024-04-12T00:19Znever https://www.findknowdo.com/news/03/12/2018/federal-register-cfpb-seeks-input-rulemaking-processes2024-04-12T17:09Znever https://www.findknowdo.com/news/03/13/2018/president-trump-blocks-planned-tech-company-takeover2020-12-15T04:37Znever https://www.findknowdo.com/news/03/13/2018/proprietary-trading-firm-accuses-unknown-traders-manipulating-cboe-volatility-index2024-04-04T19:10Znever https://www.findknowdo.com/news/03/13/2018/federal-register-cfpb-finalizes-changes-mortgage-servicing-rule2024-04-12T17:09Znever https://www.findknowdo.com/news/03/13/2018/bank-reaches-consent-agreement-frb-regarding-bsa/aml-procedures2024-04-12T21:18Znever https://www.findknowdo.com/news/03/14/2018/company-settles-charges-employee-stock-option-disclosure-failures2022-06-18T20:01Znever https://www.findknowdo.com/news/03/14/2018/cftc-commissioners-warn-against-eu-ccp-regulatory-changes2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/03/14/2018/health-tech-company-and-its-founder-settle-sec-fraud-charges2020-12-15T04:45Znever https://www.findknowdo.com/news/03/14/2018/first-cyber-insider-trading-case-sec-charges-former-equifax-chief-information-officer2023-06-04T12:49Znever https://www.findknowdo.com/news/03/14/2018/sec-proposes-amendments-open-end-fund-liquidity-reporting-requirements2022-01-03T22:17Znever https://www.findknowdo.com/news/03/14/2018/cftc-staff-grants-cpo-exemption-quarterly-report-distribution-requirement2024-04-06T17:38Znever https://www.findknowdo.com/news/03/14/2018/senate-passes-bill-ease-banking-regulations2021-02-01T19:40Znever https://www.findknowdo.com/news/03/14/2018/cftc-chairman-outlines-2018-agenda2024-04-06T17:38Znever https://www.findknowdo.com/news/03/19/2018/sec-requests-comments-transaction-fee-pilot-nms-stocks2022-12-31T20:09Znever https://www.findknowdo.com/news/03/15/2018/cftc-commissioner-calls-principles-based-approach-dodd-frank-reforms2024-04-06T17:38Znever https://www.findknowdo.com/news/03/15/2018/cftc-requests-nominations-market-risk-advisory-committee2024-04-06T17:38Znever https://www.findknowdo.com/news/03/15/2018/cfpb-requests-information-changes-rules2024-04-12T17:09Znever https://www.findknowdo.com/news/03/15/2018/former-senior-associate-chief-accountant-settles-sec-charges-conflict-interest2022-06-18T20:01Znever https://www.findknowdo.com/news/03/15/2018/house-committee-reviews-regulation-cryptocurrencies-and-icos2022-06-18T20:01Znever https://www.findknowdo.com/news/03/16/2018/sec-commissioner-highlights-cybersecurity-serious-corporate-governance-issue2022-06-18T20:01Znever https://www.findknowdo.com/news/03/16/2018/house-subcommittee-continues-evaluation-cfius-reform-bill2024-04-02T19:48Znever https://www.findknowdo.com/news/03/16/2018/fifth-circuit-vacates-fiduciary-rule2021-01-16T00:20Znever https://www.findknowdo.com/news/03/16/2018/federal-court-dismisses-antitrust-suit-against-banks-currency-rigging-conspiracy2022-06-18T20:01Znever https://www.findknowdo.com/news/03/16/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/19/2018/sec-director-investment-management-says-rulemaking-etfs-high-priority2022-06-18T20:01Znever https://www.findknowdo.com/news/03/20/2018/ftc-stops-alleged-cryptocurrency-pyramid-scheme2024-04-03T20:15Znever https://www.findknowdo.com/news/03/19/2018/sec-issues-largest-whistleblower-awards-ever2024-01-30T02:46Znever https://www.findknowdo.com/news/03/19/2018/president-trump-blocks-u.s.-purchases-venezuelan-petro-cryptocurrency2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/03/21/2018/sec-obtains-summary-judgment-post-it-note-insider-trading-scheme2022-06-18T20:01Znever https://www.findknowdo.com/news/03/20/2018/cfpb-seeks-new-members-join-advisory-groups2024-04-12T17:09Znever https://www.findknowdo.com/news/03/20/2018/nfa-calls-reduced-timeframe-actual-delivery-virtual-currency2024-04-05T19:35Znever https://www.findknowdo.com/news/03/20/2018/sec-provides-guidance-investment-clubs2022-06-18T20:01Znever https://www.findknowdo.com/news/03/21/2018/cftc-denies-request-cpo-reporting-relief2024-04-06T17:38Znever https://www.findknowdo.com/news/03/21/2018/cfpb-and-ftc-outline-efforts-against-improper-debt-collection-practices2024-04-12T17:09Znever https://www.findknowdo.com/news/03/21/2018/federal-register-cfpb-requests-information-regulations-adopted-bureau-post-dodd-frank2024-04-12T17:09Znever https://www.findknowdo.com/news/03/21/2018/ftc-cautions-merger-parties-protect-competitive-information2024-04-03T20:15Znever https://www.findknowdo.com/news/03/22/2018/introducing-broker-settles-nfa-capital-deficiency-charges2024-04-05T19:35Znever https://www.findknowdo.com/news/03/22/2018/sec-commissioner-urges-sec-conduct-review-mutual-fund-regulations2022-06-18T20:01Znever https://www.findknowdo.com/news/03/22/2018/federal-court-sentences-false-edgar-filer-prison-securities-manipulation2022-06-18T20:01Znever https://www.findknowdo.com/news/03/22/2018/former-investment-firm-ceo-ordered-pay-over-13-million-misleading-investors2022-11-19T22:29Znever https://www.findknowdo.com/news/03/22/2018/federal-register-cfpb-extends-comment-period-civil-investigative-demands-process2024-04-12T17:09Znever https://www.findknowdo.com/news/03/23/2018/cftc-officials-criticize-budget-allocation2024-04-06T17:38Znever https://www.findknowdo.com/news/03/23/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/23/2018/gao-fintech-report-calls-improvements-customer-protection-and-regulatory-oversight2024-01-30T19:23Znever https://www.findknowdo.com/news/03/23/2018/finra-requests-comments-rule-governing-introducing/clearing-agreements2024-04-12T12:43Znever https://www.findknowdo.com/news/03/26/2018/broker-dealer-settles-investigation-masking-scheme2022-11-22T15:28Znever https://www.findknowdo.com/news/03/26/2018/ftc-confirms-investigation-facebooks-data-privacy-practices2024-04-03T20:15Znever https://www.findknowdo.com/news/03/26/2018/appropriations-bill-allows-increased-leverage-business-development-companies2021-01-24T01:57Znever https://www.findknowdo.com/news/03/27/2018/gold-mining-corporation-settles-fcpa-violations2022-06-18T20:01Znever https://www.findknowdo.com/news/03/27/2018/finra-and-msrb-update-faqs-bond-confirmation-disclosures2024-04-12T12:43Znever https://www.findknowdo.com/news/03/27/2018/cfpb-requests-information-inherited-rules2024-04-12T17:09Znever https://www.findknowdo.com/news/03/27/2018/nfa-reiterates-importance-disclosing-virtual-currency-transactions2024-04-05T19:35Znever https://www.findknowdo.com/news/03/27/2018/sec-charges-broker-dealer-failing-supervise-registered-representative2022-06-18T20:01Znever https://www.findknowdo.com/news/03/28/2018/fincen-extends-geographic-targeting-order-high-end-real-estate-markets2024-04-02T18:52Znever https://www.findknowdo.com/news/03/29/2018/ny-fed-president-emphasizes-importance-compensation-and-culture2024-04-12T21:18Znever https://www.findknowdo.com/news/03/28/2018/broker-dealer-settles-charges-failing-file-suspicious-activity-reports2024-04-12T12:43Znever https://www.findknowdo.com/news/03/29/2018/fdic-vice-chair-outlines-recommendations-limited-regulatory-relief2024-04-12T19:03Znever https://www.findknowdo.com/news/03/28/2018/finra-urges-caution-recommendations-first-day-listings2024-04-12T12:43Znever https://www.findknowdo.com/news/03/29/2018/sec-obtains-summary-judgment-price-manipulation-case2022-06-18T20:01Znever https://www.findknowdo.com/news/03/29/2018/marketplace-lending-update-another-rocky-mountain-remand2024-09-23T17:54Zyearly https://www.findknowdo.com/news/03/29/2018/sec-grants-music-streaming-company-no-action-relief-certain-public-listing-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/03/30/2018/bcbs-provides-guidance-early-supervisory-intervention2024-02-05T17:30Znever https://www.findknowdo.com/news/03/30/2018/bank-agrees-pay-settlement-end-libor-manipulation-case2022-06-18T20:01Znever https://www.findknowdo.com/news/03/30/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/03/30/2018/fincen-confirms-money-transmitter-rules-apply-ico-coins-and-tokens2024-04-02T18:52Znever https://www.findknowdo.com/news/04/02/2018/fdic-proposes-technical-changes-stress-testing-rule2024-04-12T21:35Znever https://www.findknowdo.com/news/04/02/2018/investment-bank-reaches-2-billion-settlement-misleading-rmbs-investors2022-06-18T20:01Znever https://www.findknowdo.com/news/04/02/2018/cfpb-requests-information-guidance-materials-and-activities2024-04-12T17:09Znever https://www.findknowdo.com/news/04/02/2018/banking-agencies-increase-commercial-real-estate-appraisal-threshold2024-04-12T21:35Znever https://www.findknowdo.com/news/04/02/2018/cfpb-acting-director-asks-congress-restrain-power-cfpb2024-04-12T17:09Znever https://www.findknowdo.com/news/04/02/2018/sec-cyber-unit-shuts-down-unregistered-ico2022-07-02T22:31Znever https://www.findknowdo.com/news/04/03/2018/fincen-provides-additional-guidance-upcoming-customer-due-diligence-requirements2024-04-02T18:52Znever https://www.findknowdo.com/news/04/03/2018/cfpb-reports-consumer-complaints-and-company-responses2024-04-12T17:09Znever https://www.findknowdo.com/news/04/03/2018/ny-fed-names-new-president-and-ceo2024-04-12T21:18Znever https://www.findknowdo.com/news/04/03/2018/frb-governor-reviews-financial-stability-policy2024-04-12T21:18Znever https://www.findknowdo.com/news/04/04/2018/isda-calls-fasb-add-broad-based-sofr-swap-rate2022-06-18T20:01Znever https://www.findknowdo.com/news/04/04/2018/msrb-provides-additional-educational-materials-mark-disclosures2024-04-12T00:19Znever https://www.findknowdo.com/news/04/04/2018/cfpb-requests-information-financial-education-programs2024-04-12T17:09Znever https://www.findknowdo.com/news/04/04/2018/finra-updates-aml-template-small-firms2024-04-12T12:43Znever https://www.findknowdo.com/news/04/04/2018/sec-updates-qa-non-gaap-financial-measures2022-12-03T00:35Znever https://www.findknowdo.com/news/04/06/2018/iosco-makes-final-reporting-and-transparency-recommendations-corporate-bond-market2022-06-18T20:01Znever https://www.findknowdo.com/news/04/05/2018/mutual-fund-firms-disclose-active-share-information-retail-investors2022-11-22T15:08Znever https://www.findknowdo.com/news/04/05/2018/senate-ag-committee-chair-and-cftc-commissioners-air-concerns-over-futures-markets2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/04/05/2018/sec-charges-massachusetts-man-insider-trading-scheme2022-06-18T20:01Znever https://www.findknowdo.com/news/04/05/2018/sec-issues-first-whistleblower-award-under-safe-harbor2024-01-30T02:46Znever https://www.findknowdo.com/news/04/06/2018/fca-issues-new-requirements-uk-asset-management-industry2022-12-03T16:44Znever https://www.findknowdo.com/news/04/06/2018/three-investment-advisers-settle-share-class-selection-disclosure-violations2022-12-31T11:50Znever https://www.findknowdo.com/news/04/09/2018/sec-accuses-fintech-company-illegal-stock-sales2022-06-18T20:01Znever https://www.findknowdo.com/news/04/06/2018/treasury-updates-list-specially-designated-nationals-and-blocked-persons2024-04-02T19:48Znever https://www.findknowdo.com/news/04/06/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/04/06/2018/cftc-commissioner-reassures-agriculture-industry-futures-market-protections2024-04-06T17:38Znever https://www.findknowdo.com/news/04/09/2018/msrb-provides-overview-municipal-market-derivatives-regulatory-framework2024-04-12T00:19Znever https://www.findknowdo.com/news/04/09/2018/fca-affirms-regulatory-authority-over-cryptocurrency-derivatives2022-12-03T16:44Znever https://www.findknowdo.com/news/04/09/2018/cpmi-and-iosco-issue-global-technical-guide-derivatives-data-elements2024-02-05T17:30Znever https://www.findknowdo.com/news/04/09/2018/sec-issues-investor-alert-ponzi-schemes-directed-seniors2022-06-18T20:01Znever https://www.findknowdo.com/news/04/09/2018/fca-says-libor-transition-wont-subject-legacy-swaps-margin-rules2023-06-10T14:39Znever https://www.findknowdo.com/news/04/10/2018/cme-floor-broker-settles-cftc-spoofing-charges2024-04-06T17:37Znever https://www.findknowdo.com/news/04/10/2018/cpmi-and-iosco-publish-revised-ccp-stress-testing-framework2024-02-05T17:30Znever https://www.findknowdo.com/news/04/10/2018/associations-advocate-clearing-exemption-post-trade-risk-reduction-services2022-11-19T16:29Znever https://www.findknowdo.com/news/04/10/2018/ffiec-members-evaluate-cyber-insurance-financial-institutions2023-06-10T00:18Znever https://www.findknowdo.com/news/04/11/2018/sec-chair-provides-overview-equity-market-structure-initiatives2022-11-19T19:43Znever https://www.findknowdo.com/news/04/10/2018/finra-review-vix-linked-products2024-04-12T12:42Znever https://www.findknowdo.com/news/04/11/2018/isda-responds-reported-arrangements-based-narrowly-tailored-credit-events2022-06-18T20:01Znever https://www.findknowdo.com/news/04/11/2018/msrb-chief-economist-finds-no-relationship-between-etf-growth-and-muni-bond-market-liquidity2024-04-12T00:19Znever https://www.findknowdo.com/news/04/11/2018/cfpb-requests-information-consumer-complaints2024-04-12T17:09Znever https://www.findknowdo.com/news/04/12/2018/frb-seeks-comments-proposed-simplified-capital-rules2024-04-12T21:18Znever https://www.findknowdo.com/news/04/11/2018/cfpb-acting-director-asks-congress-curb-power-agency2024-04-12T17:09Znever https://www.findknowdo.com/news/04/11/2018/occ-and-frb-request-comments-enhanced-supplementary-leverage-ratio2024-04-12T21:35Znever https://www.findknowdo.com/news/04/12/2018/cftc-grants-cpo-relief-u.s.-gaap-reporting-requirement2024-04-06T17:37Znever https://www.findknowdo.com/news/04/12/2018/sec-commissioners-disagree-sec-staff-determination-regulation-offering-limit2022-06-18T20:01Znever https://www.findknowdo.com/news/04/12/2018/ocie-cautions-investment-advisers-fee-and-expense-issues2020-12-15T05:42Znever https://www.findknowdo.com/news/04/12/2018/msrb-names-chief-regulatory-officer2024-04-12T00:19Znever https://www.findknowdo.com/news/04/12/2018/broker-dealer-fined-failure-supervise-customer-e-trading2024-04-12T12:42Znever https://www.findknowdo.com/news/04/13/2018/mortgage-banker-pay-fine-failure-maintain-servicing-and-origination-operations2022-06-18T20:01Znever https://www.findknowdo.com/news/04/12/2018/ftc-revises-settlement-agreement-cyber-breach-incident2024-04-03T20:15Znever https://www.findknowdo.com/news/04/12/2018/cfpb-acting-director-calls-agency-restructuring2024-04-12T17:09Znever https://www.findknowdo.com/news/04/12/2018/sec-division-trading-and-markets-clarifies-recordkeeping-obligations2023-04-25T22:32Znever https://www.findknowdo.com/news/04/13/2018/sec-awards-over-2.1-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/04/13/2018/house-subcommittee-considers-expansion-cfius-jurisdiction2024-03-06T21:38Znever https://www.findknowdo.com/news/04/13/2018/ofac-director-step-down2024-03-06T23:34Znever https://www.findknowdo.com/news/04/13/2018/cftc-chair-characterizes-new-approach-swaps-regulation-principles-based2024-04-06T17:37Znever https://www.findknowdo.com/news/04/13/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/04/16/2018/isda-issues-fact-sheet-initial-margin-regulations2022-06-18T20:01Znever https://www.findknowdo.com/news/04/16/2018/nasaa-warns-investors-ico-risks2024-02-03T22:51Znever https://www.findknowdo.com/news/04/16/2018/sec-commissioner-advises-international-regulators-stop-trying-do-too-much2022-06-18T20:01Znever https://www.findknowdo.com/news/04/16/2018/frb-vice-chair-summarizes-supervisory-and-regulatory-policy2024-04-12T21:18Znever https://www.findknowdo.com/news/04/17/2018/president-trump-names-frb-cftc-nominees2020-12-23T23:23Znever https://www.findknowdo.com/news/04/17/2018/sifma-credit-margin-section-host-april-dinner-new-york2026-04-15T21:22Zyearly https://www.findknowdo.com/news/04/17/2018/ny-fed-vice-president-calls-evolving-risk-management-practices2024-04-12T21:18Znever https://www.findknowdo.com/news/04/17/2018/banking-agencies-propose-amending-capital-rules-include-new-accounting-standard2024-04-12T21:35Znever https://www.findknowdo.com/news/04/17/2018/ny-attorney-general-launches-probe-cryptocurrency-trading-platforms2023-06-10T18:03Znever https://www.findknowdo.com/news/04/18/2018/msrb-reaffirms-investor-protection-obligations-transactions-involving-securities-distressed-municipalities2024-04-12T00:19Znever https://www.findknowdo.com/news/04/19/2018/senate-votes-repeal-cfpb-auto-loan-financing-regulatory-guidance2022-06-18T20:01Znever https://www.findknowdo.com/news/04/18/2018/senators-ask-cfius-review-foreign-acquisition-american-beef-processing-company2020-12-15T02:56Znever https://www.findknowdo.com/news/04/18/2018/sec-proposes-retail-best-interest-standard-broker-dealers-fiduciary-interpretation-advisers2023-05-23T00:07Znever https://www.findknowdo.com/news/04/19/2018/cftc-grants-cpo-relief-annual-report-filing-requirement2024-04-06T17:37Znever https://www.findknowdo.com/news/04/19/2018/frb-governor-advocates-cyclical-protections-event-economic-downturn2024-04-12T21:18Znever https://www.findknowdo.com/news/04/19/2018/former-venezuelan-government-official-pleads-guilty-money-laundering-charges2022-06-18T20:01Znever https://www.findknowdo.com/news/04/20/2018/bank-settles-charges-occ-and-cfpb-risk-management-deficiencies2024-04-12T21:35Znever https://www.findknowdo.com/news/04/20/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/04/20/2018/finra-proposes-further-extension-effective-date-tba-margin-requirements2024-04-12T12:42Znever https://www.findknowdo.com/news/04/20/2018/sec-cyber-unit-files-additional-charges-related-unregistered-ico2021-03-20T16:47Znever https://www.findknowdo.com/news/04/20/2018/finra-proposes-adding-ongoing-customer-due-diligence-requirements-aml-rule2024-04-12T12:42Znever https://www.findknowdo.com/news/04/23/2018/treasury-extends-compliance-dates-certain-qfc-recordkeeping-requirements2024-04-12T19:03Znever https://www.findknowdo.com/news/04/23/2018/treasury-eases-sanctions-russian-aluminum-company2024-03-06T23:34Znever https://www.findknowdo.com/news/04/23/2018/finra-proposes-changes-quantitative-suitability-obligation-broker-dealers2024-04-12T12:42Znever https://www.findknowdo.com/news/04/23/2018/finra-requests-adoption-tier-size-pilot-program2024-04-12T12:42Znever https://www.findknowdo.com/news/04/23/2018/cftc-rescinds-reporting-relief-granted-delinquent-cpo2024-04-06T17:37Znever https://www.findknowdo.com/news/04/23/2018/finra-provides-guidance-use-related-performance-information-institutional-communications2024-04-12T12:42Znever https://www.findknowdo.com/news/04/24/2018/public-company-pay-35-million-cybersecurity-breach-disclosure-violations2023-06-04T12:49Znever https://www.findknowdo.com/news/04/24/2018/treasury-reports-successful-deregulation-efforts2024-04-02T19:48Znever https://www.findknowdo.com/news/04/24/2018/commercial-data-provider-agrees-pay-9-million-fcpa-violations2020-12-15T06:48Znever https://www.findknowdo.com/news/04/24/2018/isda-future-derivatives-survey-finds-participants-optimistic-face-significant-market-challenges2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/04/24/2018/finra-requests-comments-rule-governing-annual-compliance-meetings2024-04-12T12:42Znever https://www.findknowdo.com/news/04/25/2018/labcftc-requests-input-fintech-science-competitions2024-04-06T17:37Znever https://www.findknowdo.com/news/04/25/2018/cftc-warns-manufacturing-cds-events-may-constitute-manipulation2024-04-06T17:37Znever https://www.findknowdo.com/news/04/25/2018/federal-register-frb-seeks-comments-proposed-simplified-capital-rules2024-04-12T21:18Znever https://www.findknowdo.com/news/04/26/2018/sec-commissioner-urges-new-approach-equity-market-structure-regulation2022-12-31T14:06Znever https://www.findknowdo.com/news/04/30/2018/dol-clarifies-plan-fiduciary-responsibilities2024-04-04T19:20Znever https://www.findknowdo.com/news/04/26/2018/sec-chair-thanks-congress-extra-funding-sets-out-fy2019-priorities2022-06-18T20:01Znever https://www.findknowdo.com/news/04/26/2018/sec-director-corporation-finance-reviews-upcoming-regulatory-priorities2022-06-18T20:01Znever https://www.findknowdo.com/news/04/26/2018/isda-calls-ccp-supervisory-cooperation2024-01-31T02:34Znever https://www.findknowdo.com/news/04/27/2018/isda-examines-margin-framework-non-cleared-otc-derivatives2021-01-15T00:20Znever https://www.findknowdo.com/news/04/26/2018/isda-provides-guidance-u.s./eu-cross-border-trading2021-01-15T00:20Znever https://www.findknowdo.com/news/04/27/2018/cftc-commissioner-reviews-current-regulation-cryptocurrencies2024-04-06T17:37Znever https://www.findknowdo.com/news/04/27/2018/cftc-chair-giancarlo-outlines-vision-swaps-reform2024-04-06T17:37Znever https://www.findknowdo.com/news/04/27/2018/house-committee-considers-implementation-issues-customer-due-diligence-rule2024-04-02T18:52Znever https://www.findknowdo.com/news/04/27/2018/nydfs-transitions-certain-non-depository-financial-institutions-nmls2024-02-03T23:12Znever https://www.findknowdo.com/news/04/27/2018/fincen-updates-aml/cft-deficiencies-list2024-04-02T18:52Znever https://www.findknowdo.com/news/04/27/2018/senate-confirms-five-ftc-nominees2024-04-03T20:15Znever https://www.findknowdo.com/news/04/27/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/04/27/2018/occ-publishes-recovery-planning-booklet2024-04-12T21:35Znever https://www.findknowdo.com/news/04/27/2018/fdic-vice-chair-step-down2024-04-12T19:03Znever https://www.findknowdo.com/news/04/30/2018/commodity-trading-company-pay-2-million-cotton-futures-position-limits-violations2024-04-06T17:37Znever https://www.findknowdo.com/news/04/30/2018/nydfs-proposes-best-interest-standard-sellers-life-insurance-and-annuity-products2024-02-03T23:12Znever https://www.findknowdo.com/news/05/01/2018/sec-director-investment-management-answers-questions-proposed-best-interest-standard2023-05-23T00:07Znever https://www.findknowdo.com/news/05/01/2018/electronics-company-pay-280-million-fcpa-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/05/02/2018/finra-proposes-rule-amendments-enhance-oversight-high-risk-brokers2024-04-12T12:42Znever https://www.findknowdo.com/news/05/01/2018/bank-holding-company-fined-unsafe-and-unsound-forex-trading-practices2024-04-12T21:18Znever https://www.findknowdo.com/news/05/02/2018/cftc-issues-guidance-exemption-aggregation-requirements2024-04-06T17:37Znever https://www.findknowdo.com/news/05/02/2018/treasury-updates-licenses-specially-designated-nationals-and-blocked-persons2024-03-06T23:34Znever https://www.findknowdo.com/news/05/02/2018/finra-instructs-adjudicators-consider-arbitration-history-when-imposing-sanctions2024-04-12T12:42Znever https://www.findknowdo.com/news/05/02/2018/broker-dealer-settles-state-law-action-concerning-non-exempt-securities2022-11-13T22:00Znever https://www.findknowdo.com/news/05/03/2018/sec-chair-clayton-describes-benefits-best-interest-standard-retail-investors2023-05-23T00:07Znever https://www.findknowdo.com/news/05/03/2018/fifth-circuit-denies-motions-intervene-dol-fiduciary-lawsuit2022-11-16T00:58Znever https://www.findknowdo.com/news/05/03/2018/cftc-commissioners-have-different-wish-lists2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/05/04/2018/second-circuit-vacates-conviction-mortgage-bond-trader-second-time2022-11-16T00:58Znever https://www.findknowdo.com/news/05/04/2018/nfa-reminds-members-comply-ofac-virtual-currency-obligations2024-04-05T19:35Znever https://www.findknowdo.com/news/05/03/2018/court-orders-hip-hop-mogul-respond-sec-enforcement-action2022-06-18T20:01Znever https://www.findknowdo.com/news/05/03/2018/finra-extends-effective-date-tba-margin-requirements2024-04-12T12:42Znever https://www.findknowdo.com/news/05/03/2018/finra-adds-customer-due-diligence-requirements-aml-rule2024-04-12T12:42Znever https://www.findknowdo.com/news/05/04/2018/sec-chief-accountant-recommends-improving-quality-financial-reporting2022-12-03T00:35Znever https://www.findknowdo.com/news/05/04/2018/sec-deputy-chief-economist-debunks-myths-about-machine-readability2022-06-18T20:01Znever https://www.findknowdo.com/news/05/04/2018/nfa-files-complaint-against-cpo-concerning-operations-pool-assets2024-04-05T19:35Znever https://www.findknowdo.com/news/05/04/2018/nasdaq-requests-suspension-utp-trading-certain-thinly-traded-securities2024-04-10T22:52Znever https://www.findknowdo.com/news/05/04/2018/cpmi-and-iosco-update-report-ccp-implementation-pfmi2024-01-31T02:34Znever https://www.findknowdo.com/news/05/04/2018/fincen-reduces-aml-penalty-against-casino-pending-good-behavior2024-04-02T18:52Znever https://www.findknowdo.com/news/05/04/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/05/07/2018/cftc-chair-recommends-global-swaps-market-reforms2024-04-06T17:37Znever https://www.findknowdo.com/news/05/07/2018/finra-proposes-fees-late-cancellation-prehearing-conferences2024-04-12T12:42Znever https://www.findknowdo.com/news/05/07/2018/sifma-updates-certain-municipal-security-issue-price-model-documents2022-06-18T20:01Znever https://www.findknowdo.com/news/05/07/2018/federal-reserve-vice-chair-examines-impact-lcr-requirements-balance-sheet2024-04-12T21:18Znever https://www.findknowdo.com/news/05/07/2018/sec-commissioner-michael-piwowar-resigns2022-06-18T20:01Znever https://www.findknowdo.com/news/05/07/2018/finra-notifies-members-sec-reduced-fee-rate-fy20182024-04-12T12:42Znever https://www.findknowdo.com/news/05/08/2018/hedge-fund-advisory-firm-and-cfo-settle-sec-insider-trading-charge2022-06-18T20:01Znever https://www.findknowdo.com/news/05/08/2018/federal-register-sec-requests-public-comment-proposed-amendment-auditor-independence-rules2022-12-03T00:35Znever https://www.findknowdo.com/news/05/08/2018/sec-approves-three-msrb-advertising-rule-proposals2024-04-12T00:19Znever https://www.findknowdo.com/news/05/08/2018/broker-dealer-pays-fine-improper-recommendations-regarding-variable-annuity-exchanges2024-04-12T12:42Znever https://www.findknowdo.com/news/05/08/2018/president-trump-ends-u.s.-participation-jcpoa-reinstitutes-sanctions-against-iran2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/05/08/2018/dol-issues-temporary-non-enforcement-policy-fiduciary-rule2024-04-04T19:20Znever https://www.findknowdo.com/news/05/09/2018/sec-commissioner-cautions-against-overregulating-initial-coin-offerings2022-06-18T20:01Znever https://www.findknowdo.com/news/05/09/2018/cftc-commissioner-calls-funding-increase2024-04-06T17:37Znever https://www.findknowdo.com/news/05/09/2018/federal-register-sec-seeks-public-input-best-interest-standard-and-fiduciary-interpretation2024-09-27T22:52Zyearly https://www.findknowdo.com/news/05/09/2018/u.s.-deputy-attorney-general-introduces-doj-policy-stop-regulators-piling-penalties2024-04-03T19:49Znever https://www.findknowdo.com/news/05/09/2018/despite-no-data-breach-twitter-discloses-password-vulnerability2024-02-04T04:11Znever https://www.findknowdo.com/news/05/10/2018/sec-permits-adviser-continue-using-performance-track-record-following-merger2022-06-18T20:01Znever https://www.findknowdo.com/news/05/10/2018/sec-charges-investment-adviser-inflating-value-securities2024-04-03T19:49Znever https://www.findknowdo.com/news/05/09/2018/barbara-underwood-sworn-acting-attorney-general-new-york2022-11-14T03:44Znever https://www.findknowdo.com/news/05/10/2018/seventh-circuit-sec-lacks-jurisdiction-adjudicate-certain-disputes-between-securities-firms-and-exchanges2022-11-16T00:58Znever https://www.findknowdo.com/news/05/10/2018/house-representatives-repeals-cfpb-auto-loan-financing-regulatory-guidance2022-07-23T17:50Znever https://www.findknowdo.com/news/05/11/2018/cfpb-reviews-spring-2018-rulemaking-agenda2024-04-12T17:09Znever https://www.findknowdo.com/news/05/11/2018/marketplace-lending-update-kabbage-heads-court2024-09-23T17:52Zyearly https://www.findknowdo.com/news/05/11/2018/ofac-imposes-sanctions-iranian-individuals-and-entities2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/05/14/2018/sec-updates-compliance-and-disclosure-interpretations-certain-proxy-rules-and-schedules2022-06-18T20:01Znever https://www.findknowdo.com/news/05/11/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/05/11/2018/nfa-reminds-members-update-compliance-fatf-aml/cft-deficiencies-list2024-04-05T19:35Znever https://www.findknowdo.com/news/05/14/2018/sec-commissioner-faults-regulatory-policies-downward-trend-ipos2022-06-18T20:01Znever https://www.findknowdo.com/news/05/14/2018/federal-register-banking-agencies-propose-amendments-accounting-standard2024-04-12T21:34Znever https://www.findknowdo.com/news/05/14/2018/bcbs-and-iosco-issue-criteria-identify-simple-transparent-and-comparable-short-term-securitizations2024-02-05T17:30Znever https://www.findknowdo.com/news/05/14/2018/sec-cautions-investors-about-margin-risk2023-04-24T22:39Znever https://www.findknowdo.com/news/05/15/2018/nfa-proposes-requiring-certain-firms-maintain-records-electronic-communications2024-04-05T19:35Znever https://www.findknowdo.com/news/05/15/2018/sec-commissioner-explains-approach-enforcement-actions2022-06-18T20:01Znever https://www.findknowdo.com/news/05/15/2018/isda-ceo-reviews-benchmark-transition-initiatives2022-06-18T20:01Znever https://www.findknowdo.com/news/05/15/2018/sec-removes-personally-identifiable-information-requirement-municipal-advisor-registration-forms2022-06-18T20:01Znever https://www.findknowdo.com/news/05/15/2018/cftc-commissioner-calls-cooperation-combat-disruptive-trading-behavior2024-04-06T17:37Znever https://www.findknowdo.com/news/05/15/2018/ofac-imposes-sanctions-senior-iranian-and-iraqi-banking-officials2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/05/16/2018/sec-designates-indian-stock-exchange-offshore-securities-market2022-06-18T20:01Znever https://www.findknowdo.com/news/05/16/2018/sec-division-director-details-cybersecurity-and-cryptocurrency-enforcement-efforts2021-03-20T16:47Znever https://www.findknowdo.com/news/05/16/2018/cftc-provides-dealer-registration-relief-transactions-multilateral-institutions2024-04-06T17:37Znever https://www.findknowdo.com/news/05/16/2018/sec-enforcement-co-directors-outline-strategies-and-initiatives2020-10-16T22:17Znever https://www.findknowdo.com/news/05/16/2018/broker-dealer-firms-settle-aml-charges2024-04-12T12:42Znever https://www.findknowdo.com/news/05/16/2018/federal-reserve-governor-opposes-central-bank-backed-digital-cryptocurrencies2024-04-12T21:18Znever https://www.findknowdo.com/news/05/16/2018/president-trump-issues-executive-order-enhancing-role-agency-cios2022-06-18T20:01Znever https://www.findknowdo.com/news/05/17/2018/fincen-provides-temporary-relief-beneficial-ownership-rule-existing-financial-products-automatic-rollovers-or-renewals2024-04-02T18:52Znever https://www.findknowdo.com/news/05/17/2018/frb-vice-chair-urges-reconsideration-capital-and-liquidity-requirements-foreign-banks-operating-u.s.2024-04-12T21:18Znever https://www.findknowdo.com/news/05/16/2018/ftc-chair-fills-leadership-posts2024-04-03T20:15Znever https://www.findknowdo.com/news/05/17/2018/msrb-proposes-consolidated-rule-governing-discretionary-transactions-customer-accounts2024-04-12T00:19Znever https://www.findknowdo.com/news/05/17/2018/turkish-banker-receives-32-month-sentence-iran-sanctions-case2024-04-03T19:49Znever https://www.findknowdo.com/news/05/17/2018/ftc-chair-says-additional-funds-needed-expert-analysis2024-04-03T20:15Znever https://www.findknowdo.com/news/05/17/2018/cftc-grants-certain-exemptions-members-indian-exchange2024-04-06T17:37Znever https://www.findknowdo.com/news/05/17/2018/state-attorneys-general-file-motion-reconsider-dol-fiduciary-rule-decision2022-06-18T20:01Znever https://www.findknowdo.com/news/05/18/2018/cftc-proposes-amendments-swap-margin-rules2024-04-06T17:37Znever https://www.findknowdo.com/news/05/18/2018/ofac-imposes-sanctions-hizballah-associated-individuals2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/05/18/2018/finra-proposes-expanding-definition-agency-debt-securities2024-04-12T12:42Znever https://www.findknowdo.com/news/05/18/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/05/18/2018/occ-and-frb-extend-comment-deadline-enhanced-supplementary-leverage-ratio2024-04-12T21:34Znever https://www.findknowdo.com/news/05/21/2018/finra-proposes-restructuring-district-committees2024-04-12T12:42Znever https://www.findknowdo.com/news/05/21/2018/finra-broaden-background-check-disclosures-prospective-hires2024-04-12T12:42Znever https://www.findknowdo.com/news/05/21/2018/cftc-and-nasaa-execute-mutual-cooperation-agreement2024-04-06T17:37Znever https://www.findknowdo.com/news/05/21/2018/federal-register-sec-files-proposed-fees-late-cancellation-prehearing-conferences2024-04-12T12:42Znever https://www.findknowdo.com/news/05/21/2018/president-trump-imposes-additional-sanctions-venezuela2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/05/21/2018/nasaa-regulators-crack-down-fraudulent-icos-and-cryptocurrencies2024-02-03T22:51Znever https://www.findknowdo.com/news/05/22/2018/cftc-issues-guidance-exchanges-and-clearinghouses-virtual-currency-derivative-product-listings2024-04-06T17:37Znever https://www.findknowdo.com/news/05/22/2018/federal-register-cftc-grants-certain-exemptions-members-indian-exchange2024-04-06T17:37Znever https://www.findknowdo.com/news/05/22/2018/president-trump-signs-law-nullifying-cfpb-auto-loan-financing-regulatory-guidance2022-07-23T17:53Znever https://www.findknowdo.com/news/05/22/2018/cftc-grants-fbot-registration-australian-securities-exchange2024-04-06T17:37Znever https://www.findknowdo.com/news/05/22/2018/sec-division-trading-and-markets-director-defends-proposed-regulation-best-interest2023-05-23T00:07Znever https://www.findknowdo.com/news/05/22/2018/house-passes-bill-ease-banking-regulations2021-02-01T19:40Znever https://www.findknowdo.com/news/05/23/2018/federal-register-cftc-proposes-amendments-swap-margin-rules2024-04-06T17:37Znever https://www.findknowdo.com/news/05/23/2018/nfa-reminds-members-aml-obligations2024-04-05T19:35Znever https://www.findknowdo.com/news/05/23/2018/occ-reminds-banks-installment-lending-principles2024-04-12T21:34Znever https://www.findknowdo.com/news/05/24/2018/sec-proposes-rules-promote-investment-fund-research2021-11-26T18:03Znever https://www.findknowdo.com/news/05/24/2018/treasury-issues-new-and-revised-ukraine/russia-related-general-licenses2024-03-06T23:34Znever https://www.findknowdo.com/news/05/24/2018/ny-fed-president-calls-aggressive-action-libor-transition2024-04-12T21:18Znever https://www.findknowdo.com/news/05/24/2018/occ-highlights-key-banking-risks2024-04-12T21:34Znever https://www.findknowdo.com/news/05/24/2018/senate-confirms-new-fdic-chair2024-04-12T19:03Znever https://www.findknowdo.com/news/05/25/2018/isda-reviews-use-notional-amount-derivatives-regulation2022-06-18T20:01Znever https://www.findknowdo.com/news/05/25/2018/federal-register-finra-proposes-expanding-definition-agency-debt-securities2024-04-12T12:42Znever https://www.findknowdo.com/news/05/25/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/05/25/2018/bank-deregulation-bill-becomes-law2024-09-23T18:00Zyearly https://www.findknowdo.com/news/05/29/2018/treasury-issues-new-faqs-regarding-ukrainian/russian-sdns2024-03-06T23:34Znever https://www.findknowdo.com/news/05/29/2018/cftc-grants-registration-relief-cpo2024-04-06T17:37Znever https://www.findknowdo.com/news/05/29/2018/fcm-settles-charges-involving-misallocations-trades2024-04-06T17:37Znever https://www.findknowdo.com/news/05/29/2018/sec-shuts-down-fraudulent-ico2022-07-02T22:31Znever https://www.findknowdo.com/news/05/29/2018/sec-division-economic-and-risk-analysis-director-step-down2020-12-23T23:22Znever https://www.findknowdo.com/news/05/30/2018/msrb-upgrades-trade-reporting-system2024-04-12T00:19Znever https://www.findknowdo.com/news/05/30/2018/frb-proposes-changes-volcker-rule2024-04-12T21:18Znever https://www.findknowdo.com/news/05/30/2018/sec-files-complaint-against-former-registered-representative-and-issues-investor-alert2022-06-18T20:01Znever https://www.findknowdo.com/news/05/31/2018/sec-charges-investment-banker-insider-trading2020-12-15T02:49Znever https://www.findknowdo.com/news/05/31/2018/sec-names-acting-chief-risk-officer2020-12-23T23:22Znever https://www.findknowdo.com/news/05/31/2018/cftc-grants-cpo-relief-registration-requirement2024-04-06T17:37Znever https://www.findknowdo.com/news/05/31/2018/sec-waives-bad-actor-disqualification-broker-dealer2022-06-18T20:01Znever https://www.findknowdo.com/news/06/01/2018/finra-requests-additional-extension-tier-size-pilot-program2024-04-12T12:42Znever https://www.findknowdo.com/news/06/01/2018/treasury-replaces-and-extends-ukraine-related-general-license2024-03-06T23:34Znever https://www.findknowdo.com/news/06/01/2018/occ-and-fdic-adopt-shortened-settlement-cycle2024-04-12T21:34Znever https://www.findknowdo.com/news/06/01/2018/thirteen-ias-fined-failing-report-form-pf2021-01-24T05:23Znever https://www.findknowdo.com/news/06/01/2018/sec-names-acting-chief-economist-and-dera-director2020-12-23T23:21Znever https://www.findknowdo.com/news/06/01/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/06/04/2018/cftc-revisits-swap-dealer-de-minimis-proposal-%28and-other-rules%292024-04-06T17:37Znever https://www.findknowdo.com/news/06/04/2018/bank-pay-over-1-billion-resolve-fcpa-and-libor-manipulation-charges2024-04-06T17:37Znever https://www.findknowdo.com/news/06/04/2018/investment-adviser-pay-8-million-settle-sec-conflict-interest-disclosure-charges2020-12-15T06:58Znever https://www.findknowdo.com/news/06/04/2018/sec-allows-temporary-delay-mutual-fund-proceed-disbursements-protect-vulnerable-adults2024-01-29T13:30Znever https://www.findknowdo.com/news/06/04/2018/treasury-issues-new-general-license-wind-down-transactions-sanctioned-russian-companies2024-04-02T19:48Znever https://www.findknowdo.com/news/06/05/2018/cftc-commissioner-describes-global-promise-and-dangers-blockchain2024-04-06T17:37Znever https://www.findknowdo.com/news/06/05/2018/federal-judge-denies-motion-dismiss-rmbs-fraud-suit2021-01-16T00:19Znever https://www.findknowdo.com/news/06/05/2018/sec-addresses-delivery-mutual-fund-documents-shareholders2022-06-18T20:01Znever https://www.findknowdo.com/news/06/05/2018/sec-votes-advance-volcker-proposal2024-09-23T17:46Zyearly https://www.findknowdo.com/news/06/05/2018/cftc-chair-defends-fy-2019-budget-request-senate-financial-services-subcommittee2024-04-06T17:37Znever https://www.findknowdo.com/news/06/05/2018/president-trump-nominates-sec-commissioner2020-12-23T23:22Znever https://www.findknowdo.com/news/06/06/2018/msrb-review-interpretive-notice-fair-dealing2024-04-12T00:19Znever https://www.findknowdo.com/news/06/05/2018/sec-chair-testifies-fy-2019-budget-request2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2018/nfa-implement-proficiency-testing-swaps-traders2024-04-05T19:35Znever https://www.findknowdo.com/news/06/06/2018/treasury-undersecretary-issues-warning-against-malign-activities-iranian-regime2024-04-02T19:48Znever https://www.findknowdo.com/news/06/06/2018/sec-chief-accountant-details-recommendations-improving-quality-financial-reporting2022-12-03T00:35Znever https://www.findknowdo.com/news/06/06/2018/sec-names-senior-advisor-digital-assets2022-07-02T22:31Znever https://www.findknowdo.com/news/06/06/2018/sec-grants-no-action-relief-securities-act-registration-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/06/07/2018/finra-proposes-new-reporting-obligations-certain-alternative-trading-systems2024-04-12T12:42Znever https://www.findknowdo.com/news/06/07/2018/sec-chair-says-bitcoin-are-not-securities2022-06-18T20:01Znever https://www.findknowdo.com/news/06/07/2018/finra-proposes-update-security-futures-risk-disclosure-statement2024-04-12T12:42Znever https://www.findknowdo.com/news/06/08/2018/nfa-proposes-update-security-futures-risk-disclosure-statement2024-04-05T19:35Znever https://www.findknowdo.com/news/06/08/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/06/08/2018/us-regulatory-intelligence-unveils-substantial-reorganization-triples-number-topic-pages2024-09-27T22:45Zyearly https://www.findknowdo.com/news/06/11/2018/msrb-proposes-amendments-professional-qualification-requirements2024-04-12T00:19Znever https://www.findknowdo.com/news/06/11/2018/treasury-adds-russian-individuals-and-entities-sanctions-list2026-06-20T14:35Zmonthly https://www.findknowdo.com/news/06/11/2018/sec-commissioner-calls-revision-stock-buyback-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/06/12/2018/nfa-files-complaint-against-introducing-broker-aml-program-deficiencies2024-04-05T19:35Znever https://www.findknowdo.com/news/06/12/2018/finra-extends-cds-margin-pilot-program2024-04-12T12:41Znever https://www.findknowdo.com/news/06/12/2018/banking-agencies-issue-statement-enforcement-coordination2024-04-12T21:34Znever https://www.findknowdo.com/news/06/12/2018/premium-update-filter-enforcement-actions-fine-amount-and-violation-type2024-02-04T04:11Znever https://www.findknowdo.com/news/06/12/2018/broker-dealer-settles-charges-failure-supervise-rmbs-traders-and-salespersons2022-06-18T20:01Znever https://www.findknowdo.com/news/06/12/2018/fincen-calls-attention-transactional-red-flags-associated-international-corruption2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/06/12/2018/federal-register-cftc-proposes-swap-dealer-de-minimis-amendments2024-04-06T17:37Znever https://www.findknowdo.com/news/06/14/2018/house-consider-raising-bsa-thresholds-and-providing-cdd-safe-harbor2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/06/13/2018/comptroller-currency-outlines-priorities2024-04-12T21:34Znever https://www.findknowdo.com/news/06/13/2018/federal-judge-denies-motion-dismiss-sec-accounting-fraud-lawsuit2021-02-01T20:00Znever https://www.findknowdo.com/news/06/13/2018/premium-update-track-regulatory-changes2024-02-04T04:11Znever https://www.findknowdo.com/news/06/14/2018/premium-update-maximize-your-efficiency-robust-rulebooks2024-02-04T04:11Znever https://www.findknowdo.com/news/06/15/2018/finra-launches-project-revamp-registration-and-disclosure-programs2024-04-12T12:41Znever https://www.findknowdo.com/news/06/14/2018/house-subcommittee-considers-legislation-sec-enforcement-securities-laws2022-06-18T20:01Znever https://www.findknowdo.com/news/06/14/2018/sec-corp-fin-director-concludes-bitcoin-and-ether-are-not-securities2022-07-02T22:31Znever https://www.findknowdo.com/news/06/14/2018/frb-adopts-single-counterparty-credit-limits2024-04-12T21:18Znever https://www.findknowdo.com/news/06/15/2018/sec-investor-advisory-committee-considers-retail-best-interest-standard-broker-dealers2023-05-23T00:07Znever https://www.findknowdo.com/news/06/15/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/06/15/2018/occ-clarifies-supervisory-policy-and-processes-cra-exams2024-04-12T21:34Znever https://www.findknowdo.com/news/06/15/2018/bank-settles-investigation-over-libor-manipulation2022-07-27T22:56Znever https://www.findknowdo.com/news/06/18/2018/treasury-department-researchers-analyze-form-pf-data2022-07-27T19:43Znever https://www.findknowdo.com/news/06/18/2018/swap-dealer-settles-charges-over-isdafix-manipulation2024-04-06T17:37Znever https://www.findknowdo.com/news/06/18/2018/nfa-proposes-adding-customer-due-diligence-rule-aml-program-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/06/18/2018/doj-charges-former-transportation-executives-accounting-and-securities-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/06/18/2018/president-trump-nominates-cfpb-director2020-12-23T23:22Znever https://www.findknowdo.com/news/06/18/2018/occ-names-deputy-comptroller-and-chief-accountant2024-04-12T21:34Znever https://www.findknowdo.com/news/06/19/2018/msrb-finds-fewer-muni-dealers-less-dealer-concentration2024-04-12T00:19Znever https://www.findknowdo.com/news/06/19/2018/sec-identifies-priorities-draft-strategic-plan-fy-2018-20222022-09-16T19:44Znever https://www.findknowdo.com/news/06/19/2018/broker-dealer-settles-sec-charges-misleading-customers2022-06-18T20:01Znever https://www.findknowdo.com/news/06/19/2018/president-trump-nominates-ofr-director2024-04-02T19:48Znever https://www.findknowdo.com/news/06/20/2018/ftc-hold-hearings-consumer-protection-enforcement-laws-and-policies2024-04-03T20:15Znever https://www.findknowdo.com/news/06/20/2018/investment-bank-settles-new-york-dfs-foreign-exchange-trading-allegations2022-07-27T22:56Znever https://www.findknowdo.com/news/06/20/2018/msrb-updated-faq-addresses-compliance-obligations-non-solicitor-municipal-advisors2024-04-12T00:19Znever https://www.findknowdo.com/news/06/20/2018/house-subcommittee-hears-testimony-virtual-currency-aml-risks2022-07-04T22:23Znever https://www.findknowdo.com/news/06/21/2018/supreme-court-rules-sec-practice-hiring-aljs-unconstitutional2022-06-18T20:01Znever https://www.findknowdo.com/news/06/21/2018/sec-chair-reviews-regulatory-priorities-house-financial-services-oversight-hearing2022-07-02T22:31Znever https://www.findknowdo.com/news/06/21/2018/cftc-grants-cpo-relief-quarterly-account-statement-requirement2024-04-06T17:37Znever https://www.findknowdo.com/news/06/21/2018/cftc-commissioner-advises-european-union-regulators-continue-cross-border-regulatory-deference2024-04-06T17:37Znever https://www.findknowdo.com/news/06/21/2018/federal-judge-determines-cfpb-unconstitutionally-structured2022-06-18T20:01Znever https://www.findknowdo.com/news/06/22/2018/fifth-circuit-strikes-down-dol-fiduciary-rule2022-11-16T00:58Znever https://www.findknowdo.com/news/06/22/2018/sec-details-monetary-recovery-processes-defrauded-investors2023-04-24T22:38Znever https://www.findknowdo.com/news/06/22/2018/sec-stays-all-administrative-proceedings-scheduled-aljs2022-06-18T20:01Znever https://www.findknowdo.com/news/06/22/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/06/25/2018/trade-associations-highlight-gap-between-awareness-and-action-benchmark-transition2022-07-23T22:39Znever https://www.findknowdo.com/news/06/25/2018/premium-update-use-form-finder-easily-access-compliance-forms2024-02-04T04:11Znever https://www.findknowdo.com/news/06/25/2018/ftc-amends-rules-and-form-instructions-hart-scott-rodino-premerger-notification2024-04-03T19:49Znever https://www.findknowdo.com/news/06/25/2018/broker-dealer-settles-charges-regarding-complex-financial-products2022-06-18T20:01Znever https://www.findknowdo.com/news/06/25/2018/msrb-proposes-revisions-series-52-exam2024-04-12T00:19Znever https://www.findknowdo.com/news/06/26/2018/sec-and-doj-charge-credit-ratings-analyst-insider-trading2024-04-03T19:49Znever https://www.findknowdo.com/news/06/26/2018/house-subcommittee-considers-aml-de-risking2022-06-18T20:01Znever https://www.findknowdo.com/news/06/27/2018/ofac-amends-iranian-transactions-and-sanctions-regulations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/06/27/2018/msrb-releases-draft-faqs-advertising-rule2024-04-12T00:19Znever https://www.findknowdo.com/news/06/27/2018/premium-update-guide-your-understanding-cfius2025-02-04T19:23Zyearly https://www.findknowdo.com/news/06/27/2018/federal-register-finra-extends-cds-margin-pilot-program2024-04-12T12:41Znever https://www.findknowdo.com/news/06/27/2018/house-passes-foreign-investment-risk-review-modernization-act2024-03-06T21:38Znever https://www.findknowdo.com/news/06/28/2018/sec-adopts-new-reporting-format-operating-companies-and-funds2020-12-03T05:07Znever https://www.findknowdo.com/news/06/28/2018/sec-proposes-changes-etf-approval-process2022-01-01T13:25Znever https://www.findknowdo.com/news/06/28/2018/cftc-proposes-simplified-financial-surveillance-examination-program-requirements-sros2024-04-06T17:37Znever https://www.findknowdo.com/news/06/28/2018/sec-raises-thresholds-smaller-companies-qualify-disclosure-accommodation-under-reg-s-k-and-reg-s-x2022-06-18T20:01Znever https://www.findknowdo.com/news/06/28/2018/equifax-reaches-agreement-states-improve-cybersecurity-standards2022-11-13T20:39Znever https://www.findknowdo.com/news/06/28/2018/sec-adopts-amendments-open-end-fund-liquidity-reporting-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/06/29/2018/sec-proposes-amendments-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/06/28/2018/federal-reserve-board-approves-capital-plans-major-banks2024-04-12T21:18Znever https://www.findknowdo.com/news/06/29/2018/fdic-and-frb-propose-updates-guidance-resolution-planning2024-04-12T21:18Znever https://www.findknowdo.com/news/06/29/2018/weekly-roundup-exchange-rules-category2020-09-18T01:55Znever https://www.findknowdo.com/news/07/02/2018/american-lawyer-reviews-cabinet-premium2024-02-04T04:11Znever https://www.findknowdo.com/news/07/03/2018/attorney-settles-charges-illegally-selling-blockchain-related-securities2020-12-15T06:34Znever https://www.findknowdo.com/news/07/03/2018/cftc-chair-hires-new-senior-counsel2024-04-06T17:37Znever https://www.findknowdo.com/news/07/03/2018/company-settles-charges-failing-disclose-ceos-perks2020-12-15T02:11Znever https://www.findknowdo.com/news/07/03/2018/cabinet-great-american-playlist2024-02-04T04:11Znever https://www.findknowdo.com/news/07/06/2018/finra-enhances-financial-review-process-broker-dealer-hires2024-04-12T12:41Znever https://www.findknowdo.com/news/07/06/2018/banking-agencies-detail-approach-rule-enforcement-affected-financial-reform-legislation2024-04-12T21:34Znever https://www.findknowdo.com/news/07/09/2018/compliance-officer-settles-aml-reporting-violations2023-06-04T12:44Znever https://www.findknowdo.com/news/07/10/2018/cfpb-acting-director-appoints-acting-deputy-director2024-04-12T17:09Znever https://www.findknowdo.com/news/07/10/2018/sec-grants-exemption-certain-tender-offer-requirements2021-01-05T17:47Znever https://www.findknowdo.com/news/07/10/2018/scientist-settles-sec-insider-trading-charges2020-12-15T04:40Znever https://www.findknowdo.com/news/07/10/2018/sec-charges-former-payment-processing-company-ceo-and-girlfriend-insider-trading2020-12-15T04:55Znever https://www.findknowdo.com/news/07/11/2018/barcelona-based-media-firm-signs-non-prosecution-agreement-regarding-bribery-allegations2024-04-03T19:49Znever https://www.findknowdo.com/news/07/11/2018/ocie-identifies-best-execution-deficiencies-investment-advisers2022-08-30T19:06Znever https://www.findknowdo.com/news/07/11/2018/sec-charges-individual-fraud-securities-manipulation-scheme2022-06-18T20:01Znever https://www.findknowdo.com/news/07/12/2018/cftc-grants-largest-whistleblower-award2024-04-06T17:37Znever https://www.findknowdo.com/news/07/12/2018/commodity-trading-firm-settles-charges-manipulating-wheat-futures-and-options-prices2024-04-06T17:37Znever https://www.findknowdo.com/news/07/12/2018/cftc-market-risk-advisory-committee-considers-libor-transition2024-04-06T17:37Znever https://www.findknowdo.com/news/07/12/2018/fca-chief-executive-urges-faster-transition-away-libor2026-01-25T10:58Zyearly https://www.findknowdo.com/news/07/13/2018/weekly-roundup-exchange-rules-category2022-06-18T20:01Znever https://www.findknowdo.com/news/07/16/2018/federal-register-ftc-amends-rules-and-form-instructions-hsr-premerger-notification2024-04-03T19:49Znever https://www.findknowdo.com/news/07/17/2018/federal-register-regulators-request-comments-proposed-volcker-rule-amendments2024-09-23T17:43Zyearly https://www.findknowdo.com/news/07/19/2018/sec-require-heightened-disclosures-alternative-trading-systems2022-08-30T19:10Znever https://www.findknowdo.com/news/07/18/2018/sec-raises-disclosure-exemption-threshold-certain-compensatory-benefit-plans2020-12-15T02:20Znever https://www.findknowdo.com/news/07/19/2018/district-court-imposes-penalty-two-foreign-prediction-market-companies-violating-cftc-trading-ban2024-04-06T17:37Znever https://www.findknowdo.com/news/07/19/2018/cftc-allow-certain-dcos-invest-customer-funds-french-and-german-sovereign-debt2024-04-06T17:37Znever https://www.findknowdo.com/news/07/19/2018/house-subcommittee-considers-potential-central-bank-digital-currencies2022-10-01T20:29Znever https://www.findknowdo.com/news/07/20/2018/ofac-allows-transactions-debt-security-issued-petroleos-de-venezuela2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/07/20/2018/federal-register-sec-proposes-amendments-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/07/23/2018/nydfs-adopts-best-interest-standard-sellers-life-insurance-and-annuity-products2024-02-03T23:12Znever https://www.findknowdo.com/news/07/23/2018/msrb-elects-new-leadership2024-04-12T00:19Znever https://www.findknowdo.com/news/07/23/2018/broker-dealer-settles-charges-failing-protect-confidential-customer-information2022-06-18T20:01Znever https://www.findknowdo.com/news/07/23/2018/nfa-adopt-interpretive-notice-disclosure-requirements-virtual-currency-activities2024-04-05T19:35Znever https://www.findknowdo.com/news/07/24/2018/sec-proposes-reduced-financial-disclosure-requirements-credit-enhanced-debt-offerings2022-06-18T20:01Znever https://www.findknowdo.com/news/07/25/2018/uk-proposes-registration-foreign-owners-uk-real-estate2022-12-03T16:45Znever https://www.findknowdo.com/news/07/25/2018/sec-names-deputy-directors-division-trading-and-markets2020-12-23T23:22Znever https://www.findknowdo.com/news/07/25/2018/sec-appoints-new-ocie-deputy-director2022-06-18T20:01Znever https://www.findknowdo.com/news/07/25/2018/occ-updates-guidance-occ-examiners-capital-and-dividends-booklet2024-04-12T21:34Znever https://www.findknowdo.com/news/08/01/2018/dtcc-launches-systemic-risk-office-webpage2024-04-09T15:05Znever https://www.findknowdo.com/news/07/26/2018/sec-names-associate-director-clearance-and-settlement-examination-program2020-12-23T23:22Znever https://www.findknowdo.com/news/07/27/2018/ib-charged-capital-and-recordkeeping-violations2024-04-05T19:35Znever https://www.findknowdo.com/news/07/27/2018/frb-introduces-new-bulletin-consumer-compliance-supervision2024-04-12T21:18Znever https://www.findknowdo.com/news/07/30/2018/isda-and-afme-consider-post-brexit-challenges-contractual-continuity-otc-derivatives2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/31/2018/sec-chair-proposes-agenda-staff-roundtable-proxy-process2022-06-18T20:01Znever https://www.findknowdo.com/news/07/31/2018/federal-register-cftc-proposes-increased-position-limits-security-futures-products2024-04-06T17:37Znever https://www.findknowdo.com/news/07/31/2018/federal-register-sec-proposes-changes-etf-approval-process2022-01-01T13:25Znever https://www.findknowdo.com/news/07/31/2018/cftc-extends-registration-relief-chinese-dco2024-04-06T17:37Znever https://www.findknowdo.com/news/08/01/2018/iosco-recommends-implementing-volatility-control-mechanisms2022-11-21T16:23Znever https://www.findknowdo.com/news/08/02/2018/sec-extends-sub-penny-rule-exemptive-relief-and-retail-price-improvement-program2022-06-18T20:01Znever https://www.findknowdo.com/news/08/02/2018/cftc-issues-45-million-whistleblower-awards2024-04-06T17:37Znever https://www.findknowdo.com/news/08/02/2018/msrb-adds-five-new-board-members-fy-20192024-04-12T00:19Znever https://www.findknowdo.com/news/08/06/2018/sec-provides-guidance-online-delivery-investment-company-shareholder-reports2022-06-18T20:01Znever https://www.findknowdo.com/news/08/07/2018/federal-register-sec-require-heightened-disclosures-alternative-trading-systems2022-08-30T19:05Znever https://www.findknowdo.com/news/08/07/2018/sifma-offers-recommendations-proposed-regulation-best-interest2023-05-23T00:07Znever https://www.findknowdo.com/news/08/07/2018/sec-offers-guidance-investors-traditional-and-non-traditional-index-funds2023-04-24T22:38Znever https://www.findknowdo.com/news/08/07/2018/communications-company-settles-charges-providing-misleading-revenue-estimates2020-12-15T03:06Znever https://www.findknowdo.com/news/08/07/2018/international-regulators-launch-global-financial-innovation-network2024-04-12T17:09Znever https://www.findknowdo.com/news/08/08/2018/global-fx-committee-updates-standards-forex-market-participants2022-06-18T20:01Znever https://www.findknowdo.com/news/08/08/2018/federal-register-federal-reserve-proposes-technical-revision-capital-assessment-and-stress-testing-report2024-04-12T21:18Znever https://www.findknowdo.com/news/08/08/2018/fincen-extends-temporary-relief-rollovers-and-renewals2024-04-02T18:52Znever https://www.findknowdo.com/news/08/09/2018/federal-register-irs-issues-final-centralized-partnership-audit-regulations2024-04-04T18:51Znever https://www.findknowdo.com/news/08/09/2018/finra-publishes-annual-industry-snapshot2024-04-12T12:41Znever https://www.findknowdo.com/news/08/10/2018/broker-dealer-agrees-settle-alleged-custody-rule-violations2024-04-12T12:41Znever https://www.findknowdo.com/news/08/10/2018/cfpb-exempts-certain-financial-companies-privacy-notice-requirements2024-04-12T17:09Znever https://www.findknowdo.com/news/08/13/2018/finra-reminds-alternative-trading-systems-supervisory-obligations2024-04-12T12:41Znever https://www.findknowdo.com/news/08/14/2018/msrb-seeks-comment-proposed-faqs-using-social-media2024-04-12T00:19Znever https://www.findknowdo.com/news/08/14/2018/bank-pay-4.9-billion-settle-rmbs-related-claims2024-04-03T19:49Znever https://www.findknowdo.com/news/08/15/2018/president-trump-signs-law-reforming-cfius-operations-and-authority2022-06-18T20:01Znever https://www.findknowdo.com/news/08/15/2018/occ-revises-cra-ratings-guidance2024-04-12T21:34Znever https://www.findknowdo.com/news/08/16/2018/finra-clarifies-narrow-exemption-financial-and-operations-principal-requirement2024-04-12T12:41Znever https://www.findknowdo.com/news/08/20/2018/broker-dealer-agrees-settle-sec-charges-failing-disclose-conflict-interest2022-06-18T20:01Znever https://www.findknowdo.com/news/08/21/2018/cftc-amends-rules-governing-chief-compliance-officer-duties2024-04-06T17:37Znever https://www.findknowdo.com/news/08/22/2018/regulators-allow-banks-treat-certain-munis-high-quality-liquid-assets2024-04-12T21:34Znever https://www.findknowdo.com/news/08/22/2018/sec-lifts-stay-all-administrative-proceedings-scheduled-aljs2022-06-18T20:01Znever https://www.findknowdo.com/news/08/24/2018/sec-names-chief-accountant-division-enforcement2022-06-18T20:01Znever https://www.findknowdo.com/news/08/24/2018/second-circuit-finds-there-are-limits-fcpa-jurisdiction2022-11-16T00:58Znever https://www.findknowdo.com/news/08/27/2018/sec-provides-update-cat-implementation-delays2022-06-18T20:01Znever https://www.findknowdo.com/news/08/28/2018/frb-expands-applicability-small-bank-holding-policy-statement2024-04-12T21:17Znever https://www.findknowdo.com/news/08/28/2018/nasaa-reminds-ico-issuers-comply-securities-registration-requirements2024-02-03T22:51Znever https://www.findknowdo.com/news/08/28/2018/occ-proposes-new-cra-regulatory-framework2024-04-12T21:34Znever https://www.findknowdo.com/news/08/28/2018/finra-elects-three-governors2024-04-12T12:41Znever https://www.findknowdo.com/news/08/29/2018/senate-confirms-new-cftc-commissioners2024-04-06T17:37Znever https://www.findknowdo.com/news/09/10/2018/cfpb-proposes-revise-encourage-trial-disclosure-programs-policy2024-04-12T17:08Znever https://www.findknowdo.com/news/09/10/2018/nfa-reminds-firms-swap-valuation-dispute-filing-requirements2024-04-05T19:35Znever https://www.findknowdo.com/news/09/11/2018/occ-proposes-rules-allow-greater-business-flexibility-federal-savings-associations2024-04-12T21:34Znever https://www.findknowdo.com/news/09/11/2018/district-court-denies-automakers-motion-dismiss-charges-relating-clean-diesel-emission-scandal2022-06-18T20:01Znever https://www.findknowdo.com/news/09/11/2018/ny-dfs-approves-two-new-dollar-pegged-cryptocurrencies2024-02-03T23:12Znever https://www.findknowdo.com/news/09/12/2018/nfa-amendments-risk-disclosure-statement-go-effect-october-12-20182024-04-05T19:35Znever https://www.findknowdo.com/news/09/12/2018/federal-register-cftc-renews-agricultural-advisory-committee-until-20202024-04-06T17:37Znever https://www.findknowdo.com/news/09/12/2018/democratic-lawmakers-urge-sec-toughen-proposed-regulation-best-interest2023-05-23T00:07Znever https://www.findknowdo.com/news/09/12/2018/new-cftc-commissioner-sworn2024-04-06T17:37Znever https://www.findknowdo.com/news/09/13/2018/federal-register-cftc-renews-global-markets-advisory-committee-mandate-until-20202024-04-06T17:37Znever https://www.findknowdo.com/news/09/14/2018/occ-updates-deposit-related-credit-guidance2024-04-12T21:34Znever https://www.findknowdo.com/news/09/14/2018/cftc-grants-cpo-relief-30-day-quarterly-account-statement-delivery-requirement2024-04-06T17:37Znever https://www.findknowdo.com/news/09/17/2018/cftc-commissioner-outlines-agency-agricultural-policy2024-04-06T17:37Znever https://www.findknowdo.com/news/09/17/2018/ny-dfs-takes-occ-court-over-fintech-charter2024-04-12T21:34Znever https://www.findknowdo.com/news/09/17/2018/cftc-settles-12-enforcement-actions-registration-recordkeeping-and-other-violations2024-04-06T17:37Znever https://www.findknowdo.com/news/09/17/2018/ofac-offers-additional-guidance-ukraine-related-sanctions-regulations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/17/2018/richard-clarida-sworn-vice-chair-federal-reserve-board2024-04-12T21:17Znever https://www.findknowdo.com/news/09/18/2018/finra-recaps-september-disciplinary-actions2024-04-12T12:40Znever https://www.findknowdo.com/news/09/18/2018/msrb-advises-firms-use-municipal-advisory-client-lists-case-studies-and-advertisements2024-04-12T00:19Znever https://www.findknowdo.com/news/09/18/2018/district-court-certifies-class-best-execution-case2022-06-18T20:01Znever https://www.findknowdo.com/news/09/19/2018/national-whistleblower-center-asks-sec-extend-comment-deadline-whistleblower-proposal2024-01-30T02:46Znever https://www.findknowdo.com/news/09/19/2018/federal-register-occ-proposes-amendments-recovery-plan-guidelines-large-banks2024-04-12T21:34Znever https://www.findknowdo.com/news/09/19/2018/cftc-rescinds-international-exchange-fbot-registration2024-04-06T17:37Znever https://www.findknowdo.com/news/09/19/2018/federal-register-cfpb-updates-summaries-rights-under-fair-credit-reporting-act2024-04-12T17:08Znever https://www.findknowdo.com/news/09/21/2018/irs-extends-effective-date-and-phase-period-dividend-equivalent-rules2024-04-04T18:51Znever https://www.findknowdo.com/news/09/20/2018/finra-proposes-amending-customer-due-diligence-requirements-capital-acquisition-brokers2024-04-12T12:40Znever https://www.findknowdo.com/news/09/20/2018/sec-proposes-amendment-single-issuer-exemption-broker-dealers-annual-reports2022-08-30T19:10Znever https://www.findknowdo.com/news/09/20/2018/cybersecurity-adviser-leave-sec2022-06-18T20:01Znever https://www.findknowdo.com/news/09/20/2018/sec-chief-information-officer-head-technology-group-ny-federal-reserve-bank2022-06-18T20:01Znever https://www.findknowdo.com/news/09/20/2018/president-trump-nominate-member-board-governors-federal-reserve-system2022-06-18T20:01Znever https://www.findknowdo.com/news/09/24/2018/finra-reminds-firms-compliance-requirements-during-transactions-otc-equity-securities2024-04-12T12:40Znever https://www.findknowdo.com/news/09/24/2018/sec-commissioner-criticizes-morality-based-regulation-corporations2022-06-18T20:01Znever https://www.findknowdo.com/news/09/26/2018/new-ftc-commissioner-sworn2024-04-03T20:15Znever https://www.findknowdo.com/news/09/26/2018/cfpb-outlines-sources-and-uses-data-collection2024-04-12T17:08Znever https://www.findknowdo.com/news/09/26/2018/nasaa-encourages-broker-dealers-develop-heightened-supervision-plans2024-02-03T22:51Znever https://www.findknowdo.com/news/09/27/2018/federal-district-court-confirms-cryptocurrencies-are-commodities-under-cftc-jurisdiction2022-06-18T20:01Znever https://www.findknowdo.com/news/09/27/2018/sec-charges-tesla-chief-executive-making-false-public-statements2022-06-18T20:01Znever https://www.findknowdo.com/news/10/02/2018/broker-dealer-settles-charges-concerning-potentially-manipulative-trading2024-04-10T15:49Znever https://www.findknowdo.com/news/09/28/2018/oig-calls-improved-oversight-reg-sci2022-11-20T15:53Znever https://www.findknowdo.com/news/09/28/2018/sec-offers-guidance-regulation-crowdfunding2022-06-18T20:01Znever https://www.findknowdo.com/news/09/28/2018/sec-director-investment-management-outlines-policy-initiatives2023-05-23T00:07Znever https://www.findknowdo.com/news/09/28/2018/broker-dealer-settles-charges-regarding-mishandling-retail-customer-orders2022-08-30T19:05Znever https://www.findknowdo.com/news/10/01/2018/isda-analyzes-impact-g20-regulations-clearing2024-01-31T02:34Znever https://www.findknowdo.com/news/10/02/2018/labcftc-director-encourages-increased-technological-literacy2024-04-06T17:37Znever https://www.findknowdo.com/news/10/02/2018/sec-commissioner-urges-regulators-not-impose-their-investment-judgment-investors2022-07-02T22:31Znever https://www.findknowdo.com/news/10/04/2018/frb-vice-chair-says-community-banks-faring-well-post-crisis2024-04-12T21:16Znever https://www.findknowdo.com/news/10/04/2018/new-irs-commissioner-sworn2024-04-04T18:51Znever https://www.findknowdo.com/news/10/09/2018/sec-commissioner-and-former-u.s.-attorney-advocate-insider-trading-reform2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/10/2018/sec-commissioner-advocates-letting-investors-make-their-own-decisions2022-06-18T20:01Znever https://www.findknowdo.com/news/10/11/2018/sec-division-trading-and-markets-policy-adviser-leave-agency2022-06-18T20:01Znever https://www.findknowdo.com/news/10/11/2018/exchange-operators-call-recusal-sec-director-market-data-fee-lawsuit2022-06-18T20:01Znever https://www.findknowdo.com/news/10/15/2018/former-traders-charged-spoofing-conspiracy2024-04-06T17:31Znever https://www.findknowdo.com/news/10/15/2018/nfa-charges-introducing-broker-misusing-customer-information-trading-scheme2024-04-05T19:35Znever https://www.findknowdo.com/news/10/15/2018/sec-office-municipal-securities-director-discusses-importance-investor-disclosures2022-06-18T20:01Znever https://www.findknowdo.com/news/10/16/2018/nasaa-warns-investors-about-marijuana-related-investment-risks2024-02-12T02:40Znever https://www.findknowdo.com/news/10/15/2018/sec-suspends-accountants-predating-audit-documentation2022-12-03T00:35Znever https://www.findknowdo.com/news/10/16/2018/frb-governor-recommends-improvements-community-reinvestment-act2024-04-12T21:16Znever https://www.findknowdo.com/news/10/19/2018/senate-banking-committee-member-introduces-pro-growth-legislation2022-06-18T20:01Znever https://www.findknowdo.com/news/10/17/2018/isda-updates-model-netting-act2022-06-18T20:01Znever https://www.findknowdo.com/news/10/16/2018/sec-urges-public-companies-develop-internal-controls-against-cyber-related-fraud2022-12-03T00:35Znever https://www.findknowdo.com/news/10/16/2018/msrb-proposes-amendments-reporting-requirements-college-savings-and-able-programs2024-04-12T00:19Znever https://www.findknowdo.com/news/10/16/2018/finra-recaps-october-disciplinary-actions2024-04-12T12:40Znever https://www.findknowdo.com/news/10/16/2018/cftc-commissioner-considers-concerns-raised-ccps-and-swap-market-participants2024-04-06T17:31Znever https://www.findknowdo.com/news/10/16/2018/cftc-commissioner-describes-regulatory-challenges-blockchain-smart-contracts2024-04-06T17:31Znever https://www.findknowdo.com/news/10/16/2018/sec-commissioner-advocates-retirement-security-protection2022-06-18T20:01Znever https://www.findknowdo.com/news/10/16/2018/banking-regulators-update-faqs-real-estate-transactions2024-04-12T21:34Znever https://www.findknowdo.com/news/10/17/2018/finra-announces-effective-date-modified-trade-reporting-regime-agency-debt-securities2024-04-12T12:40Znever https://www.findknowdo.com/news/10/17/2018/sec-allows-mutual-fund-board-rely-cco2022-06-18T20:01Znever https://www.findknowdo.com/news/10/18/2018/sec-exempts-indian-company-u.s.-tender-requirements2020-12-15T03:53Znever https://www.findknowdo.com/news/10/19/2018/industry-groups-weigh-proposed-changes-volcker-rule2021-02-01T19:40Znever https://www.findknowdo.com/news/10/18/2018/sec-division-investment-management-director-reviews-regulation-fund-boards2022-06-18T20:16Znever https://www.findknowdo.com/news/10/19/2018/sec-commissioner-urges-agency-facilitate-competition-capital-markets2022-06-18T20:01Znever https://www.findknowdo.com/news/10/19/2018/former-sec-commissioner-criticizes-petition-sec-rulemaking-environmental-social-and-governance-disclosure2024-04-04T19:10Znever https://www.findknowdo.com/news/10/19/2018/federal-register-sec-allows-late-filings-hurricane-impacted-victims2022-06-18T20:16Znever https://www.findknowdo.com/news/10/19/2018/broker-dealer-settles-finra-charges-erroneous-third-party-advisor-fees2024-04-12T12:40Znever https://www.findknowdo.com/news/10/19/2018/broker-dealer-settles-charges-violating-regulation-nms2024-04-12T12:40Znever https://www.findknowdo.com/news/10/22/2018/finance-professor-explains-how-reduce-spoofing-%28other-enforcement%292022-06-18T20:01Znever https://www.findknowdo.com/news/10/25/2018/sec-division-corporation-finance-provides-guidance-shareholder-proposals2022-06-18T20:16Znever https://www.findknowdo.com/news/10/25/2018/hm-treasury-prepares-plans-no-deal-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/10/26/2018/ny-ag-charges-exxon-mobil-misrepresenting-estimates-potential-regulatory-costs2022-07-27T22:56Znever https://www.findknowdo.com/news/10/26/2018/jury-finds-three-fx-traders-not-guilty-fx-rigging-conspiracy2022-06-18T20:01Znever https://www.findknowdo.com/news/10/26/2018/investment-bank-settles-cme-charges-improper-exchange-physical-trade2024-04-05T18:42Znever https://www.findknowdo.com/news/10/29/2018/european-union-considers-expanding-authority-over-foreign-ccps2024-02-05T02:45Znever https://www.findknowdo.com/news/10/30/2018/fca-taskforce-urges-uk-authorities-mitigate-cryptoasset-risks2022-12-03T16:44Znever https://www.findknowdo.com/news/10/30/2018/banking-agencies-propose-updating-calculation-derivative-contract-exposure-amounts2024-04-12T21:34Znever https://www.findknowdo.com/news/10/30/2018/happy-halloween2024-02-04T04:11Znever https://www.findknowdo.com/news/11/01/2018/sec-issues-investor-bulletin-variable-life-insurance2022-06-18T20:01Znever https://www.findknowdo.com/news/11/01/2018/ny-dfs-grants-license-bitcoin-teller-machine-operator2024-02-03T23:12Znever https://www.findknowdo.com/news/11/01/2018/frbny-executive-vice-president-expresses-concern-about-homogeneity-banking-sector2024-04-12T21:16Znever https://www.findknowdo.com/news/11/02/2018/industry-associations-provide-feedback-sec-mutual-fund-disclosure-framework2022-06-18T20:01Znever https://www.findknowdo.com/news/11/02/2018/ftc-proposes-rule-implementing-free-credit-monitoring-active-duty-military-consumers2024-04-03T20:15Znever https://www.findknowdo.com/news/11/02/2018/trade-associations-request-extension-comment-period-security-based-swap-rules2023-08-21T13:16Znever https://www.findknowdo.com/news/11/02/2018/sec-enforcement-division-reviews-fy-2018-enforcement-actions2022-06-18T20:01Znever https://www.findknowdo.com/news/11/02/2018/federal-register-msrb-proposes-amendments-reporting-requirements-college-savings-and-able-programs2024-04-12T00:19Znever https://www.findknowdo.com/news/11/02/2018/district-court-rules-cbot-and-cme-not-guilty-anticompetitive-conduct2022-06-18T20:01Znever https://www.findknowdo.com/news/11/02/2018/frb-implement-new-supervisory-rating-system2024-04-12T21:16Znever https://www.findknowdo.com/news/11/05/2018/sec-adopts-amendments-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/11/06/2018/sec-asset-management-unit-co-chief-leave-agency2022-06-18T20:01Znever https://www.findknowdo.com/news/11/08/2018/sec-division-director-expresses-support-reg-bi-discusses-disclosure-modernization2026-06-20T22:35Zmonthly https://www.findknowdo.com/news/11/08/2018/digital-token-trading-platform-founder-settles-charges-operating-unregistered-exchange2022-06-18T20:01Znever https://www.findknowdo.com/news/11/09/2018/sec-permits-brazilian-company-conform-audit-committees-home-country-law2022-06-18T20:01Znever https://www.findknowdo.com/news/11/09/2018/frb-vice-chair-considers-proposed-amendments-stress-testing-program2024-04-12T21:16Znever https://www.findknowdo.com/news/11/09/2018/former-precious-metals-trader-pleads-guilty-spoofing-conspiracy-and-commodities-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/11/09/2018/money-transfer-company-settles-aml-compliance-failure-charges2024-04-03T20:15Znever https://www.findknowdo.com/news/11/09/2018/frb-summarizes-banking-conditions-and-supervisory-and-regulatory-activities2024-04-12T21:16Znever https://www.findknowdo.com/news/11/09/2018/ofac-extends-general-licenses-related-ukraine-sanctions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/09/2018/sec-examine-operations-certain-mutual-and-exchange-traded-funds2022-06-18T20:01Znever https://www.findknowdo.com/news/11/13/2018/occ-releases-enforcement-action-policies-and-procedures-manuals2024-04-12T21:34Znever https://www.findknowdo.com/news/11/14/2018/fdic-requests-comments-incentivizing-banks-offer-small-dollar-credit-products2024-04-12T19:02Znever https://www.findknowdo.com/news/11/15/2018/european-commission-and-uk-negotiators-draft-brexit-agreement2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/11/15/2018/ofac-adds-saudi-officials-specially-designated-nationals-list2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/11/15/2018/fdic-chair-mcwilliams-analyzes-migration-financial-activity-banks-nonbanks2024-04-12T19:02Znever https://www.findknowdo.com/news/11/15/2018/sec-roundtable-examines-proxy-process2022-06-18T20:01Znever https://www.findknowdo.com/news/11/16/2018/sec-commissioner-peirce-reexamines-financial-reporting-and-securities-disclosure2022-06-18T20:01Znever https://www.findknowdo.com/news/11/16/2018/federal-register-sec-corrects-supplemental-information-rule-amending-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/11/16/2018/msrb-proposes-modify-interpretive-notice-fair-dealing2024-04-12T00:19Znever https://www.findknowdo.com/news/11/16/2018/two-former-traders-argue-alleged-spoofing-scheme-did-not-constitute-wire-fraud2022-06-18T20:01Znever https://www.findknowdo.com/news/11/19/2018/multinational-bank-settles-charges-violating-u.s.-sanctions-law2024-04-12T21:16Znever https://www.findknowdo.com/news/11/19/2018/cftc-makes-qfc-related-amendments-swap-margin-rules2024-04-06T17:31Znever https://www.findknowdo.com/news/11/19/2018/federal-register-ftc-proposes-rule-implementing-free-credit-monitoring-active-duty-military-consumers2024-04-03T20:15Znever https://www.findknowdo.com/news/11/20/2018/thanksgiving-playlist2024-02-04T04:11Znever https://www.findknowdo.com/news/11/26/2018/agencies-raise-exemption-thresholds-mortgage-loans2024-04-12T21:34Znever https://www.findknowdo.com/news/11/26/2018/fdic-remove-and-modify-regulations-fiduciary-and-trust-powers2024-04-12T19:02Znever https://www.findknowdo.com/news/11/26/2018/sec-commissioner-peirce-criticizes-mixed-messages-cryptocurrency2022-06-18T20:01Znever https://www.findknowdo.com/news/11/27/2018/labcftc-explains-functionality-and-risks-smart-contract-technology2024-04-06T17:31Znever https://www.findknowdo.com/news/11/27/2018/finra-charges-firm-aml-failures-sales-microcaps2024-04-12T12:40Znever https://www.findknowdo.com/news/11/28/2018/fdic-streamline-living-will-requirements2024-04-12T19:02Znever https://www.findknowdo.com/news/11/29/2018/doj-revises-policies-encourage-corporate-cooperation-civil-and-criminal-cases2024-04-03T19:49Znever https://www.findknowdo.com/news/11/30/2018/canadian-mexican-and-u.s.-authorities-establish-financial-regulatory-forum2024-04-02T19:47Znever https://www.findknowdo.com/news/11/30/2018/cme-trader-settles-spoofing-charges2024-04-05T18:42Znever https://www.findknowdo.com/news/12/03/2018/court-rules-against-cftc-says-defendants-better-understood-product-and-market-values2022-06-18T20:01Znever https://www.findknowdo.com/news/12/04/2018/isda-provides-guidance-otc-transactions-during-dec.-5-market-closures2022-06-18T20:01Znever https://www.findknowdo.com/news/12/04/2018/cftc-market-risk-advisory-committee-debates-clearinghouse-and-vendor-risk-management2024-04-06T17:31Znever https://www.findknowdo.com/news/12/07/2018/finance-professor-analyzes-court-ruling-cftc-market-manipulation-case2024-02-04T04:28Znever https://www.findknowdo.com/news/12/07/2018/sec-chair-clayton-highlights-past-progress-and-risks-fy-20192022-07-02T22:31Znever https://www.findknowdo.com/news/12/07/2018/sec-officials-advocate-key-changes-muni-issuer-disclosures2024-02-04T21:05Znever https://www.findknowdo.com/news/12/07/2018/senate-confirms-new-cfpb-director2024-04-12T17:08Znever https://www.findknowdo.com/news/12/07/2018/five-cme-traders-settle-spoofing-charges2024-04-05T18:42Znever https://www.findknowdo.com/news/12/07/2018/senate-banking-committee-considers-reforms-proxy-voting-process2022-06-18T20:01Znever https://www.findknowdo.com/news/12/07/2018/cftc-provides-audit-relief-fcm2024-04-06T17:31Znever https://www.findknowdo.com/news/12/07/2018/cme-charges-traders-spoofing-and-inadequate-protocols2024-04-05T18:42Znever https://www.findknowdo.com/news/12/07/2018/finra-highlights-broker-dealer-examination-findings2024-04-12T12:40Znever https://www.findknowdo.com/news/12/07/2018/arrc-publishes-consultations-libor-fallbacks-securitizations-and-bilateral-loans2024-09-23T17:41Zyearly https://www.findknowdo.com/news/12/07/2018/financial-investment-firm-settles-charges-impeding-cme-investigation2024-04-05T18:42Znever https://www.findknowdo.com/news/12/10/2018/sec-finds-tick-size-has-no-effect-stock-prices2022-06-18T20:01Znever https://www.findknowdo.com/news/12/14/2018/wright-brothers-day-playlist-20182024-02-04T04:10Znever https://www.findknowdo.com/news/12/18/2018/associations-urge-simplifying-regulatory-obligations-cpos-and-ctas2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/12/18/2018/agencies-propose-changes-asset-thresholds-management-interlock-rules2024-04-12T21:33Znever https://www.findknowdo.com/news/12/19/2018/finra-recaps-december-disciplinary-actions2024-04-12T12:39Znever https://www.findknowdo.com/news/12/20/2018/isda-recommends-best-practices-emir-trade-reporting2022-11-21T13:12Znever https://www.findknowdo.com/news/12/19/2018/private-equity-manager-settles-sec-charges-misallocating-expenses-funds2022-06-18T20:01Znever https://www.findknowdo.com/news/12/19/2018/sec-proposes-changes-regulatory-framework-fund-funds-arrangements2022-06-18T20:01Znever https://www.findknowdo.com/news/12/20/2018/nydfs-superintendent-maria-vullo-resigns2024-02-03T23:12Znever https://www.findknowdo.com/news/12/20/2018/treasury-publishes-national-strategy-addressing-illicit-finance2024-04-02T19:47Znever https://www.findknowdo.com/news/12/20/2018/christmas-medley2024-02-04T04:10Znever https://www.findknowdo.com/news/12/21/2018/fsoc-recommends-additional-steps-ensure-u.s.-financial-stability2024-01-31T02:34Znever https://www.findknowdo.com/news/12/21/2018/regulators-expand-eligibility-extended-site-examination-cycle2024-04-12T21:33Znever https://www.findknowdo.com/news/12/26/2018/federal-register-msrb-proposes-rule-change-improve-information-facility-emma2024-04-12T00:19Znever https://www.findknowdo.com/news/12/26/2018/sec-adopts-revisions-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/12/26/2018/sec-requests-feedback-draft-2018-exchange-transaction-fee-summary-schema-nms-stocks2022-12-31T13:33Znever https://www.findknowdo.com/news/12/26/2018/representative-waters-serve-house-financial-services-committee-chair2022-06-18T20:01Znever https://www.findknowdo.com/news/12/26/2018/fincen-seeks-nominations-bank-secrecy-act-advisory-group2024-04-02T18:52Znever https://www.findknowdo.com/news/12/26/2018/cpo-and-principal-settle-charges-related-post-trade-allocations2024-04-06T17:31Znever https://www.findknowdo.com/news/12/26/2018/broker-dealer-settles-finra-charges-aml-program-deficiencies2024-04-12T12:39Znever https://www.findknowdo.com/news/12/26/2018/sec-seeks-feedback-impact-mifid-ii-research-requirements2022-11-15T02:22Znever https://www.findknowdo.com/news/12/27/2018/sec-chair-clayton-and-commissioner-peirce-support-sbsd-rulemaking2022-11-19T16:30Znever https://www.findknowdo.com/news/12/26/2018/broker-dealer-settles-sec-charges-improperly-handling-pre-released-adrs2022-06-18T20:01Znever https://www.findknowdo.com/news/12/26/2018/federal-register-sec-adopts-amendments-consolidate-property-disclosure-requirements-mining-registrants2022-06-18T20:01Znever https://www.findknowdo.com/news/12/27/2018/nfa-provides-list-holiday-filing-requirements-swap-dealers2024-04-05T19:35Znever https://www.findknowdo.com/news/12/27/2018/cftc-chair-giancarlo-issues-statement-agency-operations-during-government-shutdown2024-04-06T17:31Znever https://www.findknowdo.com/news/12/27/2018/gao-urges-cfpb-adopt-system-prioritizing-consumer-risks2024-04-12T17:08Znever https://www.findknowdo.com/news/12/27/2018/communications-technology-company-settles-fcpa-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/12/27/2018/brazilian-company-settles-fcpa-charges2022-06-18T20:01Znever https://www.findknowdo.com/news/12/27/2018/occ-names-new-senior-deputy-comptroller2024-04-12T21:33Znever https://www.findknowdo.com/news/12/27/2018/banking-agencies-make-annual-adjustments-asset-size-thresholds-under-cra2024-04-12T21:16Znever https://www.findknowdo.com/news/12/27/2018/federal-register-occ-adopts-recovery-planning-guidelines-certain-financial-institutions2024-04-12T21:33Znever https://www.findknowdo.com/news/12/27/2018/federal-register-finra-proposes-technical-revisions-supplemental-income-statement2024-04-12T12:39Znever https://www.findknowdo.com/news/12/28/2018/federal-register-fincen-seeks-nominations-bank-secrecy-act-advisory-group2024-04-02T18:52Znever https://www.findknowdo.com/news/12/28/2018/sec-operations-limited-due-government-shutdown2022-06-18T20:01Znever https://www.findknowdo.com/news/12/28/2018/federal-register-finra-proposes-reduce-fees-certain-trf-retail-participants2024-04-12T12:39Znever https://www.findknowdo.com/news/12/28/2018/federal-register-regulators-expand-eligibility-extended-site-examination-cycle2024-04-12T21:33Znever https://www.findknowdo.com/news/12/28/2018/bill-introduced-authorize-cfpb-assess-compliance-military-lending-act2022-06-18T20:01Znever https://www.findknowdo.com/news/12/28/2018/occ-updates-comptroller-handbook2024-04-12T21:33Znever https://www.findknowdo.com/news/12/28/2018/federal-register-treasury-issues-final-technical-amendments-certain-broker-dealer-recordkeeping-and-reporting-rules2024-04-02T19:47Znever https://www.findknowdo.com/news/12/31/2018/sec-office-investor-advocate-reviews-fy-2018-activities2024-02-12T02:40Znever https://www.findknowdo.com/news/12/31/2018/finance-professor-says-new-technology-not-blame-market-volatility2024-02-04T04:28Znever https://www.findknowdo.com/news/12/31/2018/bill-introduced-regulation-updated-cecl-accounting-standards2022-12-03T00:35Znever https://www.findknowdo.com/news/01/02/2019/finra-reminds-broker-dealers-and-investment-advisers-review-2018-final-statements2024-04-12T12:39Znever https://www.findknowdo.com/news/01/02/2019/msrb-files-guidance-series-54-examination2024-04-12T00:19Znever https://www.findknowdo.com/news/01/02/2019/letitia-james-sworn-attorney-general-new-york2022-11-14T03:44Znever https://www.findknowdo.com/news/01/02/2019/55-mph-speed-limit-day-20192024-02-04T04:10Znever https://www.findknowdo.com/news/01/28/2019/sec-recommences-normal-operations2019-04-03T18:47Znever https://www.findknowdo.com/news/03/18/2019/cme-disciplines-trader-spoofing2024-04-05T18:42Znever https://www.findknowdo.com/news/03/27/2019/republicans-and-democrats-agree2020-12-16T02:50Znever https://www.findknowdo.com/news/04/10/2019/doj-accept-cole-memorandum-now2024-02-12T02:40Znever https://www.findknowdo.com/news/04/16/2019/usri-expands-free-access2024-09-27T22:35Zyearly https://www.findknowdo.com/news/04/18/2019/sec-commissioner-elad-roisman-urges-more-transparency-fixed-income-markets2022-06-18T20:18Znever https://www.findknowdo.com/news/04/26/2019/cftc-proposes-amendments-swap-data-reporting-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/04/26/2019/trucking-company-settles-doj-securities-fraud-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/04/26/2019/ofac-sanctions-venezuelan-foreign-minister-and-judge2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/04/26/2019/sec-and-cftc-warn-investors-fraud-digital-asset-and-crypto-websites2022-07-02T22:31Znever https://www.findknowdo.com/news/04/26/2019/ofac-adopts-sanctions-regulations-concerning-foreign-interference-u.s.-elections2024-03-06T23:33Znever https://www.findknowdo.com/news/04/26/2019/cftc-investigates-foreign-commodities-firm-potentially-corrupt-practices2024-04-06T17:30Znever https://www.findknowdo.com/news/04/29/2019/occ-seeks-comment-custodial-activities-rules2024-04-12T21:33Znever https://www.findknowdo.com/news/04/30/2019/cftc-proposes-changes-dco-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/04/29/2019/sec-and-tesla-ceo-amend-settlement-over-alleged-false-public-statements2022-06-18T20:01Znever https://www.findknowdo.com/news/04/29/2019/sec-allows-funds-file-post-effective-amendments-registration-statement2022-06-18T20:01Znever https://www.findknowdo.com/news/04/30/2019/cfpb-seeks-feedback-possible-changes-remittance-rule2024-04-12T17:07Znever https://www.findknowdo.com/news/04/30/2019/federal-register-banking-agencies-propose-supplementary-leverage-ratio-relief2024-04-12T21:33Znever https://www.findknowdo.com/news/04/30/2019/sec-extends-compliance-date-regulations-order-routing-disclosure2022-12-31T14:06Znever https://www.findknowdo.com/news/04/30/2019/federal-register-finra-proposes-amending-trace-rules-certain-hedging-transactions2024-04-12T12:38Znever https://www.findknowdo.com/news/04/30/2019/finra-outlines-steps-firms-may-take-address-imposter-websites2024-04-12T12:38Znever https://www.findknowdo.com/news/04/30/2019/sec-clarifies-form-filings-are-not-approvals-icos2022-06-18T20:01Znever https://www.findknowdo.com/news/04/30/2019/occ-proposes-pilot-program-foster-responsible-innovation-financial-institutions2024-04-12T21:33Znever https://www.findknowdo.com/news/04/30/2019/senate-banking-committee-considers-testimony-agency-use-non-binding-guidance2022-06-18T20:01Znever https://www.findknowdo.com/news/04/30/2019/bill-introduced-create-sec-taskforce-protect-senior-investors2022-06-18T20:01Znever https://www.findknowdo.com/news/04/30/2019/reg.-tracker-may-1-may-152022-06-18T20:01Znever https://www.findknowdo.com/news/05/01/2019/federal-register-finra-proposes-changes-corporate-financing-rule2024-04-12T12:38Znever https://www.findknowdo.com/news/05/01/2019/treasury-proposes-second-set-regulations-opportunity-zones2024-04-04T18:51Znever https://www.findknowdo.com/news/05/01/2019/cftc-chair-giancarlo-describes-efforts-balanced-market-oversight2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/05/01/2019/ccps-pass-cftc-stress-tests2024-04-06T17:30Znever https://www.findknowdo.com/news/05/01/2019/doj-and-irs-seek-information-finnish-individuals-using-u.s.-payment-cards2024-04-04T18:51Znever https://www.findknowdo.com/news/05/02/2019/industry-associations-comment-sec-regulatory-framework-fund-funds-arrangements2022-06-18T20:01Znever https://www.findknowdo.com/news/05/02/2019/shipping-company-settles-ofac-charges-violating-wmd-sanctions-regulations2026-06-20T13:33Zmonthly https://www.findknowdo.com/news/05/02/2019/doj-assistant-attorney-general-weighs-common-ownership-debate2024-04-03T19:49Znever https://www.findknowdo.com/news/05/02/2019/ofac-provides-guidance-sanctions-compliance-programs2024-03-06T23:33Znever https://www.findknowdo.com/news/05/02/2019/cftc-chair-christopher-giancarlo-wants-clarifications-initial-margin-phase-five-implementation2024-04-12T21:15Znever https://www.findknowdo.com/news/05/02/2019/annuities-firm-settles-finra-charges-misrepresenting-contents-bond-fund-portfolio2024-04-12T12:38Znever https://www.findknowdo.com/news/05/02/2019/sec-asset-management-unit-names-new-co-chief-enforcement2022-06-18T20:01Znever https://www.findknowdo.com/news/05/03/2019/fca-highlights-efforts-promote-innovation-financial-services2022-12-03T16:44Znever https://www.findknowdo.com/news/05/03/2019/sec-proposes-improvements-merger-disclosures2022-06-18T20:01Znever https://www.findknowdo.com/news/05/06/2019/finra-proposes-further-obligations-restricted-firms2024-04-12T12:38Znever https://www.findknowdo.com/news/05/03/2019/cfpb-requests-feedback-proposed-changes-hmda-rules2024-04-12T17:07Znever https://www.findknowdo.com/news/05/03/2019/frb-proposes-expanding-application-netting-protections2024-04-12T21:15Znever https://www.findknowdo.com/news/05/03/2019/fincen-warns-financial-institutions-corruption-venezuela2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/05/06/2019/federal-register-msrb-proposes-eliminate-requirement-keep-hard-copy-rulebook2024-04-12T00:19Znever https://www.findknowdo.com/news/05/06/2019/isda-ceo-criticizes-regulatory-burden-initial-margin-phase-five-implementation2022-06-18T20:01Znever https://www.findknowdo.com/news/05/06/2019/crs-reviews-proposals-reduce-big-bank-burdens2022-07-27T19:58Znever https://www.findknowdo.com/news/05/06/2019/cftc-awards-whistleblower-approximately-1.5-million2024-04-06T17:30Znever https://www.findknowdo.com/news/05/06/2019/ftc-charges-company-misusing-consumer-funds-crowdfunding-scheme2024-04-03T20:14Znever https://www.findknowdo.com/news/05/07/2019/sec-ocie-director-highlights-risks-retail-investors2022-08-30T19:08Znever https://www.findknowdo.com/news/05/07/2019/u.s.-district-judge-declares-mistrial-flash-crash-spoofing-case2022-06-18T20:01Znever https://www.findknowdo.com/news/05/07/2019/senate-banking-committee-considers-testimony-privacy-and-data-collection2022-06-18T20:01Znever https://www.findknowdo.com/news/05/07/2019/sec-provides-update-mining-disclosure-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/05/09/2019/finra-alerts-members-money-laundering-red-flags2024-04-12T12:38Znever https://www.findknowdo.com/news/05/07/2019/ofac-rescinds-sanctions-against-former-venezuelan-official2024-03-06T23:33Znever https://www.findknowdo.com/news/05/08/2019/federal-register-finra-proposes-updating-manual-reflect-new-cat-subsidiary2024-04-12T12:38Znever https://www.findknowdo.com/news/05/08/2019/hackers-steal-bitcoin-global-cryptocurrency-exchange2022-06-18T20:01Znever https://www.findknowdo.com/news/05/08/2019/cfpb-proposes-rule-changes-debt-collection-practices2024-04-12T17:07Znever https://www.findknowdo.com/news/05/08/2019/nfa-apply-compliance-rules-swaps2024-04-05T19:34Znever https://www.findknowdo.com/news/05/08/2019/cftc-chair-j.-christopher-giancarlo-defends-fy-2020-budget-request-senate-subcommittee2024-04-06T17:30Znever https://www.findknowdo.com/news/05/08/2019/nfa-proposes-updates-swap-activity-supervisory-obligations2024-04-05T19:34Znever https://www.findknowdo.com/news/05/09/2019/frb-finds-financial-sector-remains-resilient-despite-recent-volatility2024-04-12T21:15Znever https://www.findknowdo.com/news/05/08/2019/cftc-publishes-enforcement-policies-and-procedures-new-manual2024-04-06T17:30Znever https://www.findknowdo.com/news/05/09/2019/sec-chair-jay-clayton-defends-fy-2020-budget-request-senate-appropriations-subcommittee2022-06-18T20:01Znever https://www.findknowdo.com/news/05/09/2019/msrb-reports-continuing-trend-fewer-muni-dealers-less-concentration-big-dealer-trades2024-04-12T00:19Znever https://www.findknowdo.com/news/05/10/2019/cftc-alerts-public-virtual-currency-fraud2024-04-06T17:30Znever https://www.findknowdo.com/news/05/09/2019/cftc-charges-commodities-trading-executive-mismarking-futures-and-physical-trades2024-04-06T17:30Znever https://www.findknowdo.com/news/05/09/2019/sec-proposes-rule-amendments-reduce-costs-smaller-issuers2022-06-18T20:01Znever https://www.findknowdo.com/news/05/09/2019/executive-order-targets-persons-operating-iron-steel-aluminum-and-copper-sectors-iranian-economy2024-03-06T23:33Znever https://www.findknowdo.com/news/05/09/2019/ags-call-cannabis-safe-harbor-financial-institutions2024-02-12T02:39Znever https://www.findknowdo.com/news/05/10/2019/house-financial-services-committee-elects-vice-chair2022-06-18T20:01Znever https://www.findknowdo.com/news/05/10/2019/financial-services-committee-chair-maxine-asks-frb-and-fdic-postpone-bbt/suntrust-merger2022-06-18T20:01Znever https://www.findknowdo.com/news/05/10/2019/house-financial-services-committee-creates-task-forces-fintech-and-ai2022-06-18T20:01Znever https://www.findknowdo.com/news/05/10/2019/isda-advises-firms-preparing-initial-margin-phase-five-implementation2022-11-13T21:00Znever https://www.findknowdo.com/news/05/10/2019/sec-commissioner-hester-peirce-criticizes-sec-lack-clarity-jurisdiction-over-icos2022-07-04T19:25Znever https://www.findknowdo.com/news/05/10/2019/fincen-provides-guidance-convertible-virtual-currencies-issues-advisory-illicit-activity2024-04-02T18:51Znever https://www.findknowdo.com/news/05/10/2019/sec-reconsiders-cross-border-swap-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/05/10/2019/federal-reserve-board-finalizes-transfer-safe-act-authority-cfpb2024-04-12T21:15Znever https://www.findknowdo.com/news/05/13/2019/federal-register-cftc-proposes-amendments-swap-data-reporting-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/05/13/2019/u.s.-targets-venezuelan-oil-and-defense-sectors2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/05/13/2019/u.s.-seizes-north-korean-cargo-vessel-sanctions-evasion2024-04-03T19:49Znever https://www.findknowdo.com/news/05/13/2019/cftc-chair-praises-global-regulators-efforts-mitigate-risk-derivatives-clearing2024-04-06T17:30Znever https://www.findknowdo.com/news/05/13/2019/sifma-offers-new-approach-improve-cross-border-regulatory-cooperation2022-06-18T20:01Znever https://www.findknowdo.com/news/05/13/2019/sec-approves-new-u.s.-securities-exchange2022-06-18T20:01Znever https://www.findknowdo.com/news/05/13/2019/finra-issues-guidance-short-sale-volume-data2024-04-12T12:38Znever https://www.findknowdo.com/news/05/14/2019/treasury-undersecretary-highlights-use-crypto-money-laundering-and-terrorist-financing2024-04-02T19:42Znever https://www.findknowdo.com/news/05/14/2019/sec-commissioner-hester-peirce-advocates-sec-restraint-bringing-enforcement-actions2022-06-18T20:01Znever https://www.findknowdo.com/news/05/14/2019/crs-assesses-application-rio-treaty-venezuela-crisis2022-07-27T19:56Znever https://www.findknowdo.com/news/05/14/2019/cfpb-proposes-framework-periodic-rule-review2024-04-12T17:07Znever https://www.findknowdo.com/news/05/14/2019/federal-register-frb-proposes-revisions-control-rules2024-04-12T21:15Znever https://www.findknowdo.com/news/05/14/2019/broker-dealer-settles-finra-charges-including-prohibited-conditions-settlement-agreements2024-04-12T12:38Znever https://www.findknowdo.com/news/05/14/2019/hawaii-based-engineering-consultant-sentenced-foreign-corrupt-practices-act-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/05/15/2019/trade-associations-ask-prudential-regulators-drop-inter-affiliate-im-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/05/14/2019/sifma-amg-supports-fsoc-activities-based-proposal-combating-systemic-risks2022-06-18T20:01Znever https://www.findknowdo.com/news/05/15/2019/federal-register-federal-reserve-board-finalizes-transfer-safe-act-authority-cfpb2024-04-12T21:15Znever https://www.findknowdo.com/news/05/15/2019/federal-register-bank-regulators-propose-revised-framework-rules-fbos2024-04-12T21:15Znever https://www.findknowdo.com/news/05/15/2019/federal-register-cfpb-proposes-framework-periodic-rule-review2024-04-12T17:07Znever https://www.findknowdo.com/news/05/15/2019/cftc-commissioner-promotes-greater-competition-energy-derivatives-markets2024-04-06T17:30Znever https://www.findknowdo.com/news/05/15/2019/finra-simplify-online-interaction2024-04-12T12:38Znever https://www.findknowdo.com/news/05/15/2019/comptroller-currency-reviews-risks-banking-system2024-04-12T21:33Znever https://www.findknowdo.com/news/05/15/2019/cftc-division-director-highlights-efforts-reduce-compliance-costs-and-improve-market-quality2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/05/15/2019/cftc-allows-ice-futures-proposed-speed-bump-aggressive-trading2024-04-06T17:30Znever https://www.findknowdo.com/news/05/15/2019/fincen-renews-real-estate-gto-12-metropolitan-areas2024-04-02T18:51Znever https://www.findknowdo.com/news/05/16/2019/federal-register-cftc-proposes-changes-dco-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/05/16/2019/frb-vice-chair-randal-quarles-highlights-continuing-reforms-regulatory-framework2024-04-12T21:15Znever https://www.findknowdo.com/news/05/16/2019/sec-ocie-director-urges-firms-establish-and-maintain-strong-compliance-programs2024-01-29T13:30Znever https://www.findknowdo.com/news/05/16/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:38Znever https://www.findknowdo.com/news/05/16/2019/fdic-chair-jelena-mcwilliams-challenges-agency-strengthen-community-banking2024-04-12T18:02Znever https://www.findknowdo.com/news/05/16/2019/president-trump-declares-national-emergency-over-foreign-cyber-threats2022-06-18T20:01Znever https://www.findknowdo.com/news/05/17/2019/isda-initiates-two-new-consultations-benchmark-fallbacks2022-06-18T20:01Znever https://www.findknowdo.com/news/05/16/2019/ofac-designates-individuals-and-entity-human-rights-abuses2026-06-20T13:48Zmonthly https://www.findknowdo.com/news/05/17/2019/sec-commissioner-touts-private-market-solutions-real-world-challenges2022-06-18T20:01Znever https://www.findknowdo.com/news/05/17/2019/sec-staff-reviews-approach-protecting-senior-investors2023-05-22T23:46Znever https://www.findknowdo.com/news/05/17/2019/ofac-designates-mexican-officials-and-others-corrupt-activities2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/05/17/2019/reg.-tracker-may-16-may-312022-06-18T20:01Znever https://www.findknowdo.com/news/05/21/2019/cabinet-unveils-alerts-tool-support-regulatory-change-management2024-02-04T04:10Znever https://www.findknowdo.com/news/05/21/2019/senate-banking-committee-considers-testimony-collecting-beneficial-ownership-information2022-06-18T20:01Znever https://www.findknowdo.com/news/06/03/2019/fed-banks-prepare-libor-going-away2024-04-12T21:15Znever https://www.findknowdo.com/news/06/03/2019/arrc-recommends-additional-libor-termination-language2022-06-18T20:01Znever https://www.findknowdo.com/news/06/03/2019/sec-waives-voluntary-requirement-awards-whistleblowers-3-million2022-06-18T20:01Znever https://www.findknowdo.com/news/06/03/2019/cftc-chair-j.-christopher-giancarlo-outlines-agency-approach-rapid-technological-innovation2024-04-06T17:30Znever https://www.findknowdo.com/news/06/03/2019/cftc-grants-cpo-relief-registration-requirements2024-04-06T17:30Znever https://www.findknowdo.com/news/06/03/2019/sec-names-senior-adviser-cybersecurity-policy2023-06-04T12:49Znever https://www.findknowdo.com/news/06/04/2019/sec-improve-enforcement-and-investor-education-outreach-behalf-teachers-and-military-service-members2022-06-18T20:01Znever https://www.findknowdo.com/news/06/04/2019/fund-manager-and-cio-settle-sec-charges-failure-properly-value-assets2022-06-18T20:01Znever https://www.findknowdo.com/news/06/05/2019/sec-division-director-responds-volatility-and-fragmentation-concerns-u.s.-equity-markets2023-04-25T22:32Znever https://www.findknowdo.com/news/06/04/2019/u.s.-departments-treasury-and-commerce-amend-cuba-sanctions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/06/04/2019/broker-dealer-settles-finra-charges-otc-options-reporting-errors2024-04-12T12:38Znever https://www.findknowdo.com/news/06/04/2019/cftc-chair-j.-christopher-giancarlo-calls-uk-and-eu-reach-financial-services-deal2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/04/2019/sec-charges-tech-company-sale-unregistered-digital-tokens2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2019/financial-stability-board-examines-market-fragmentation-issues2022-06-18T20:01Znever https://www.findknowdo.com/news/06/05/2019/tabb-group-host-equities-2019-forum2022-06-18T20:01Znever https://www.findknowdo.com/news/06/05/2019/broker-dealer-settles-finra-charges-net-capital-and-customer-reserve-calculation-errors2024-04-12T12:38Znever https://www.findknowdo.com/news/06/05/2019/federal-register-agencies-adopt-final-rule-allowing-banks-treat-certain-munis-high-quality-liquid-assets2024-04-12T21:33Znever https://www.findknowdo.com/news/06/05/2019/cftc-chair-j.-christopher-giancarlo-reiterates-principles-cross-border-swaps-regulation2024-04-06T17:30Znever https://www.findknowdo.com/news/06/05/2019/sec-adopts-retail-best-interest-rulemaking-package2023-05-23T00:07Znever https://www.findknowdo.com/news/06/05/2019/associations-request-clarification-implementing-bcbs-iosco-exemptions-certain-swaps-margin-requirements2024-02-03T18:27Znever https://www.findknowdo.com/news/06/06/2019/senate-confirms-heath-tarbert-head-cftc-chair-giancarlo-announces-departure-date2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2019/iosco-provides-final-recommendations-esg-and-sustainable-finance-emerging-markets2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2019/sec-chair-jay-clayton-considers-impact-recent-cases-enforcement-operations2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2019/online-retailer-settles-new-york-state-investigation-over-consumer-data-breach2022-07-27T22:57Znever https://www.findknowdo.com/news/06/06/2019/ofac-clarifies-exportation-diluents-venezuela-not-permitted2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/06/06/2019/sec-files-additional-charges-against-fintech-company-accused-illegal-stock-sales2022-06-18T20:01Znever https://www.findknowdo.com/news/06/06/2019/cftc-permits-certain-amendments-legacy-swaps-under-margin-rules2024-04-06T17:30Znever https://www.findknowdo.com/news/06/07/2019/cme-charges-firm-exceeding-spot-month-position-limit-corn-futures-contracts2024-04-05T18:42Znever https://www.findknowdo.com/news/06/10/2019/frb-enhances-risk-focused-exams-community-and-regional-banks2024-04-12T21:15Znever https://www.findknowdo.com/news/06/07/2019/sec-commissioner-hester-peirce-says-sec-will-closely-monitor-reg.-bi-implementation2022-06-18T20:01Znever https://www.findknowdo.com/news/06/07/2019/ofac-sanctions-irans-largest-petrochemical-company2024-03-06T23:32Znever https://www.findknowdo.com/news/06/07/2019/finra-clarifies-when-capital-acquisition-brokers-may-accept-equity-securities-payment2024-04-12T12:37Znever https://www.findknowdo.com/news/06/07/2019/money-services-business-settles-apparent-violations-global-terrorism-sanctions-regulations2024-03-06T23:32Znever https://www.findknowdo.com/news/06/10/2019/introducing-broker-settles-nfa-charges-misusing-customer-information2024-04-05T19:34Znever https://www.findknowdo.com/news/06/10/2019/long-island-town-settles-sec-charges-municipal-securities-fraud2024-02-04T21:05Znever https://www.findknowdo.com/news/06/10/2019/senators-propose-requiring-reporting-beneficial-ownership-information2022-06-18T20:01Znever https://www.findknowdo.com/news/06/10/2019/msrb-updates-guidance-gifts-and-gratuities-limitations2024-04-12T00:18Znever https://www.findknowdo.com/news/06/11/2019/two-japanese-corporations-settle-ftc-antitrust-charges2024-04-03T20:14Znever https://www.findknowdo.com/news/06/11/2019/ofac-sanctions-network-supporting-syrian-regime2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/06/11/2019/broker-dealer-settles-finra-charges-inaccurate-consolidated-reports2024-04-12T12:37Znever https://www.findknowdo.com/news/06/11/2019/senate-banking-committee-considers-testimony-consumer-data-vendors2022-06-18T20:01Znever https://www.findknowdo.com/news/06/11/2019/sifma-summarizes-reg.-bi-rulemaking-package2023-05-23T00:07Znever https://www.findknowdo.com/news/06/12/2019/cftc-commissioner-dawn-stump-outlines-common-sense-fixes-policy-and-rulemaking2024-04-06T17:30Znever https://www.findknowdo.com/news/06/12/2019/cftc-commissioner-dan-berkovitz-wants-agency-focus-competition-and-position-limits2024-04-06T17:30Znever https://www.findknowdo.com/news/06/12/2019/nfa-updates-swap-and-forex-supervisory-obligations2024-04-05T19:34Znever https://www.findknowdo.com/news/06/12/2019/sifma-calls-finras-trade-reporting-pilot-corporate-bond-blocks-too-complex2024-04-12T12:37Znever https://www.findknowdo.com/news/06/12/2019/ofac-imposes-secondary-sanctions-against-iraqi-financial-conduit2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/06/12/2019/house-democrats-criticize-proposed-changes-hmda-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/06/12/2019/cftc-commissioners-address-climate-risks-and-energy-markets2024-04-06T17:30Znever https://www.findknowdo.com/news/06/13/2019/cftc-inspector-general-urges-agency-address-deficiencies-data-governance-program2024-04-06T17:30Znever https://www.findknowdo.com/news/06/13/2019/oig-criticizes-cftcs-stress-testing-program2024-04-06T17:30Znever https://www.findknowdo.com/news/06/14/2019/bankers-and-community-groups-offer-recommendations-strengthen-community-reinvestment-act2024-04-12T21:15Znever https://www.findknowdo.com/news/06/13/2019/companies-settle-civil-liabilities-violations-cuban-sanctions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/06/13/2019/broker-dealer-pays-penalty-aml-deficiencies-connection-penny-stocks2024-04-12T12:37Znever https://www.findknowdo.com/news/06/14/2019/sec-adopts-amendment-single-issuer-exemption-broker-dealer-annual-reports2022-06-18T20:01Znever https://www.findknowdo.com/news/06/14/2019/law-enforcement-agencies-create-transnational-elder-fraud-strike-force2024-04-03T19:49Znever https://www.findknowdo.com/news/06/14/2019/sec-commissioner-and-mit-senior-lecturer-call-sec-update-executive-pay-disclosures2022-06-18T20:01Znever https://www.findknowdo.com/news/06/14/2019/sec-grants-canadian-corporation-tender-offer-relief2022-06-18T20:01Znever https://www.findknowdo.com/news/06/14/2019/sec-grants-indian-corporation-partial-tender-offer-relief2022-06-18T20:01Znever https://www.findknowdo.com/news/06/14/2019/cme-sanctions-traders-separate-trading-related-actions2024-04-05T18:42Znever https://www.findknowdo.com/news/06/14/2019/broker-dealer-settles-sec-charges-regarding-improper-handling-adrs2022-06-18T20:01Znever https://www.findknowdo.com/news/06/17/2019/sec-commissioner-hester-peirce-urges-agency-conduct-risk-analysis-etfs2022-06-18T20:19Znever https://www.findknowdo.com/news/06/17/2019/isda-analyzes-swap-margin-requirements-and-market-fragmentation2022-06-18T20:01Znever https://www.findknowdo.com/news/06/17/2019/broker-dealer-settles-finra-charges-failing-report-outside-activities2024-04-12T12:37Znever https://www.findknowdo.com/news/06/17/2019/accounting-firm-settles-sec-charges-using-stolen-data-improve-pcaob-inspection-results2022-12-03T00:35Znever https://www.findknowdo.com/news/06/17/2019/sifma-dismisses-state-fiduciary-proposal-advocates-a-uniform-federal-standard2023-05-23T00:07Znever https://www.findknowdo.com/news/06/17/2019/bank-regulators-adopt-streamlined-call-reports-qualifying-small-institutions2024-04-12T21:33Znever https://www.findknowdo.com/news/06/18/2019/finance-professor-weighs-derivatives-market-concentration-and-position-limits2024-02-04T04:28Znever https://www.findknowdo.com/news/06/17/2019/sdny-holds-compliance-communications-are-not-protected-work-product2022-06-18T20:01Znever https://www.findknowdo.com/news/06/17/2019/sec-names-senior-advisor-division-investment-management2022-06-18T20:01Znever https://www.findknowdo.com/news/06/17/2019/governors-call-congress-pass-cannabis-safe-harbor-financial-institutions2024-02-12T02:39Znever https://www.findknowdo.com/news/06/17/2019/reg.-tracker-june-16-june-302022-06-18T20:01Znever https://www.findknowdo.com/news/06/18/2019/new-york-state-passes-bill-expand-data-breach-notification-requirements2023-06-10T18:03Znever https://www.findknowdo.com/news/06/18/2019/iosco-urges-member-jurisdictions-use-internationally-recognized-cyber-regulation-frameworks2024-01-31T02:34Znever https://www.findknowdo.com/news/06/18/2019/sec-amends-auditor-independence-rules-clarifying-debtor-creditor-relationships2022-12-03T00:35Znever https://www.findknowdo.com/news/06/18/2019/cftc-sues-unregistered-trading-company-bitcoin-ponzi-scheme2024-04-06T17:30Znever https://www.findknowdo.com/news/06/18/2019/broker-dealer-settles-sec-charges-improper-handling-adrs2022-06-18T20:19Znever https://www.findknowdo.com/news/06/19/2019/facebook-unveils-plans-blockchain-based-cryptocurrency-libra2024-04-04T19:10Znever https://www.findknowdo.com/news/06/19/2019/sec-requests-comments-securities-offering-exemptions2022-06-18T20:19Znever https://www.findknowdo.com/news/06/19/2019/cftc-division-clearing-and-risk-director-brian-bussey-retire2024-04-06T17:30Znever https://www.findknowdo.com/news/06/20/2019/labcftc-director-outlines-challenges-fintech-regulation2024-04-06T17:30Znever https://www.findknowdo.com/news/06/21/2019/isda-urges-iasb-incorporate-ibor-reform-phase-two-issues-exposure-draft2022-12-03T00:35Znever https://www.findknowdo.com/news/06/19/2019/ofac-designates-russian-entity-violating-north-korean-sanctions2024-03-06T23:32Znever https://www.findknowdo.com/news/06/20/2019/ofac-update-reporting-procedures-and-penalties-regulations2024-03-06T23:32Znever https://www.findknowdo.com/news/06/20/2019/senate-banking-committee-considers-outside-perspectives-collecting-beneficial-ownership-information2022-06-18T20:01Znever https://www.findknowdo.com/news/06/20/2019/sifma-concerned-bills-expand-sec-enforcement-authority2022-06-18T20:01Znever https://www.findknowdo.com/news/06/21/2019/retailer-settles-doj-and-sec-charges-fcpa-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/06/20/2019/broker-dealer-settles-finra-charges-misleading-filings2024-04-12T12:37Znever https://www.findknowdo.com/news/06/20/2019/house-committee-hears-testimony-expand-sec-enforcement-powers2022-06-18T20:01Znever https://www.findknowdo.com/news/06/21/2019/federal-register-bank-regulators-adopt-streamlined-call-reports-qualifying-small-institutions2024-04-12T21:33Znever https://www.findknowdo.com/news/06/21/2019/new-york-senate-confirms-dfs-superintendent2024-02-03T23:12Znever https://www.findknowdo.com/news/06/24/2019/basel-committee-agrees-advance-several-ongoing-policy-and-supervisory-initiatives2024-02-05T17:30Znever https://www.findknowdo.com/news/06/21/2019/finra-proposes-research-amendments2024-04-12T12:37Znever https://www.findknowdo.com/news/06/24/2019/iosco-analyzes-liquidity-corporate-bond-market-under-stressed-conditions2022-06-18T20:01Znever https://www.findknowdo.com/news/06/21/2019/house-passes-bill-block-federal-enforcement-cannabis-laws-u.s.-states-and-territories2024-02-12T02:39Znever https://www.findknowdo.com/news/06/21/2019/federal-register-ofac-adopts-changes-reporting-procedures-and-penalties-regulations2024-03-06T23:32Znever https://www.findknowdo.com/news/06/21/2019/sec-adopts-swap-capital-margin-and-segregation-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/06/21/2019/broker-dealer-settles-finra-charges-failing-apply-sales-charge-discounts2024-04-12T12:37Znever https://www.findknowdo.com/news/06/24/2019/doj-charges-four-canadian-executives-role-mail-fraud-campaigns2024-04-03T19:49Znever https://www.findknowdo.com/news/06/21/2019/ofac-designates-nicaraguan-government-officials-human-rights-abuses2024-03-06T23:32Znever https://www.findknowdo.com/news/06/21/2019/senate-confirms-nomination-allison-h.-lee-sec-commissioner2022-06-18T20:01Znever https://www.findknowdo.com/news/06/26/2019/mfa-asks-prudential-regulators-ease-burden-initial-margin-phase-five-implementation2024-04-12T21:15Znever https://www.findknowdo.com/news/06/24/2019/broker-dealer-settles-finra-charges-failing-maintain-supervisory-system-mutual-fund-switches2024-04-12T12:37Znever https://www.findknowdo.com/news/06/24/2019/ftc-adopts-rules-implementing-free-credit-monitoring-active-duty-military-consumers2024-04-03T20:14Znever https://www.findknowdo.com/news/06/24/2019/cftc-director-office-international-affairs-step-down2024-04-06T17:30Znever https://www.findknowdo.com/news/06/24/2019/frb-and-cfpb-adopt-amendments-adjust-funds-availability-inflation2024-04-12T21:15Znever https://www.findknowdo.com/news/06/24/2019/sec-cftc-and-fca-intend-target-opportunistic-strategies-credit-derivatives2024-04-06T17:30Znever https://www.findknowdo.com/news/06/24/2019/sec-commissioner-calls-out-problems-quantifying-esg-factors2022-06-18T20:01Znever https://www.findknowdo.com/news/06/24/2019/cftc-awards-whistleblower-approximately-2.5-million2024-04-06T17:30Znever https://www.findknowdo.com/news/06/24/2019/united-states-imposes-additional-sanctions-against-iran2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/06/26/2019/fincen-finds-more-banks-and-credit-unions-accepting-cannabis-businesses2024-04-02T18:51Znever https://www.findknowdo.com/news/06/25/2019/cftc-proposes-codify-process-terminating-relief-foreign-futures-firms2024-04-06T17:30Znever https://www.findknowdo.com/news/06/25/2019/ftc-targets-illegal-robocalls2024-04-03T20:14Znever https://www.findknowdo.com/news/06/25/2019/senate-banking-committee-considers-whether-gses-should-be-sifis2022-06-18T20:01Znever https://www.findknowdo.com/news/06/26/2019/federal-register-sec-requests-comments-securities-offering-exemptions2022-06-18T20:01Znever https://www.findknowdo.com/news/06/26/2019/bis-urges-regulators-address-emergence-large-technology-firms-financial-markets2024-02-05T17:30Znever https://www.findknowdo.com/news/06/26/2019/firm-settles-cftc-spoofing-charges2024-04-06T17:30Znever https://www.findknowdo.com/news/06/26/2019/cftc-director-division-swap-dealer-and-intermediary-oversight-depart2024-04-06T17:30Znever https://www.findknowdo.com/news/06/26/2019/senate-ag-committee-considers-testimony-cftc-reauthorization2022-06-18T20:01Znever https://www.findknowdo.com/news/06/26/2019/ofac-extends-expiration-dates-venezuelan-and-ukrainian-general-licenses2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/06/26/2019/house-passes-bill-block-secs-retail-best-interest-rulemaking-package2022-06-18T20:01Znever https://www.findknowdo.com/news/06/26/2019/sec-names-new-chief-staff-and-deputy-chief-staff2022-06-18T20:19Znever https://www.findknowdo.com/news/06/27/2019/broker-dealer-settles-finra-charges-initial-margin-interest-rate-disclosure-failures2024-04-12T12:34Znever https://www.findknowdo.com/news/06/28/2019/broker-dealer-settles-finra-charges-violating-order-protection-rule2024-04-12T12:34Znever https://www.findknowdo.com/news/06/27/2019/ftc-reminds-market-participants-interlocking-prohibitions-during-restructurings-or-acquisitions2024-04-03T20:14Znever https://www.findknowdo.com/news/06/27/2019/sec-and-cftc-intend-explore-portfolio-margining2024-04-06T17:30Znever https://www.findknowdo.com/news/06/27/2019/fdic-creates-division-complex-institution-supervision-and-resolution2024-04-12T18:02Znever https://www.findknowdo.com/news/06/27/2019/bank-settles-sec-charges-connection-hidden-fees2022-06-18T20:19Znever https://www.findknowdo.com/news/06/27/2019/cftc-provides-sd-de-minimis-relief-floor-traders2024-04-06T17:30Znever https://www.findknowdo.com/news/06/27/2019/ofac-designates-venezuelan-government-officials-connection-electricity-crisis2024-04-03T19:49Znever https://www.findknowdo.com/news/06/28/2019/cfpb-extends-comment-deadline-hmda-data-point-information2024-04-12T17:07Znever https://www.findknowdo.com/news/06/28/2019/finra-proposes-technical-changes-cat-plan-and-reporting-requirements2024-04-12T12:34Znever https://www.findknowdo.com/news/06/28/2019/house-democrats-urge-ending-inter-affiliate-initial-margin-swaps2022-06-18T20:01Znever https://www.findknowdo.com/news/06/28/2019/frb-approves-2019-capital-plans-all-major-banks2024-04-12T21:14Znever https://www.findknowdo.com/news/06/28/2019/ofac-designates-nicolas-maduros-son2024-03-06T23:32Znever https://www.findknowdo.com/news/06/28/2019/office-financial-research-names-new-director2022-07-27T19:43Znever https://www.findknowdo.com/news/06/28/2019/former-executive-pleads-guilty-adr-related-bid-rigging-conspiracy2024-04-03T19:49Znever https://www.findknowdo.com/news/06/28/2019/u.s.-house-ag-subcommittee-considers-brexit-and-other-cross-border-derivatives-matters2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/06/28/2019/finra-reports-use-fines-eligible-funds2024-04-12T12:34Znever https://www.findknowdo.com/news/07/01/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:34Znever https://www.findknowdo.com/news/07/01/2019/sec-adopts-revisions-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/07/01/2019/cftc-extends-comment-deadline-regarding-changes-dco-regulations2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/07/01/2019/federal-register-ftc-adopts-rules-implementing-free-credit-monitoring-active-duty-military-consumers2024-04-03T20:14Znever https://www.findknowdo.com/news/07/01/2019/nasaa-names-president-elect2024-02-03T22:51Znever https://www.findknowdo.com/news/07/01/2019/reg.-tracker-july-1-july-152022-06-18T20:01Znever https://www.findknowdo.com/news/07/01/2019/sec-commissioner-peirce-criticizes-efforts-mandate-representation-women-corporate-boards2022-06-18T20:01Znever https://www.findknowdo.com/news/07/01/2019/representative-waters-proposes-amendments-freeze-sec-proxy-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/07/01/2019/sec-office-investor-advocate-announces-2020-objectives2023-04-24T22:38Znever https://www.findknowdo.com/news/07/01/2019/sec-charges-municipal-advisor-breach-fiduciary-duty2022-06-18T20:01Znever https://www.findknowdo.com/news/07/01/2019/sec-approves-amendments-msrb-rules-primary-offering-practices2024-04-12T00:18Znever https://www.findknowdo.com/news/07/02/2019/finra-proposes-publishing-additional-otc-equity-trading-volume-data2024-04-12T12:33Znever https://www.findknowdo.com/news/07/02/2019/fdic-chair-provides-resolution-planning-updates2024-04-12T18:02Znever https://www.findknowdo.com/news/07/02/2019/hong-kong-hedge-fund-settles-charges-exceeding-spot-month-position-limit-wheat-futures-contracts2024-04-06T17:30Znever https://www.findknowdo.com/news/07/02/2019/finra-increases-margin-requirements-etns2024-04-12T12:33Znever https://www.findknowdo.com/news/07/08/2019/cftc-registers-virtual-currency-dco-and-grants-related-no-action-relief2024-04-06T17:30Znever https://www.findknowdo.com/news/07/15/2019/broker-dealer-settles-multiple-state-charges-selling-unregistered-securities2024-02-03T22:51Znever https://www.findknowdo.com/news/07/03/2019/sec-grants-indian-corporation-partial-tender-offer-relief2022-06-18T20:19Znever https://www.findknowdo.com/news/07/02/2019/cabinet-great-american-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/07/03/2019/federal-register-frb-and-cfpb-adopt-amendments-adjust-funds-availability-inflation2024-04-12T21:14Znever https://www.findknowdo.com/news/07/03/2019/house-financial-services-committee-chair-asks-facebook-pause-development-proposed-cryptocurrency2022-06-18T20:01Znever https://www.findknowdo.com/news/07/03/2019/cftc-awards-whistleblowers-approximately-2-million2024-04-06T17:30Znever https://www.findknowdo.com/news/07/03/2019/sec-names-chief-accountant2022-06-18T20:01Znever https://www.findknowdo.com/news/07/03/2019/cftc-advises-public-avoid-unregistered-brokers-and-advisers-social-media-platforms2024-04-06T17:30Znever https://www.findknowdo.com/news/07/03/2019/broker-dealer-settles-finra-charges-failing-supervise-representatives-trading-activity2024-04-12T12:33Znever https://www.findknowdo.com/news/07/03/2019/ofac-sanctions-cuban-oil-company-importing-venezuelan-oil2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/07/03/2019/frb-adopts-final-rule-delegating-certain-authority-federal-reserve-banks2024-04-12T21:14Znever https://www.findknowdo.com/news/07/03/2019/commodity-trading-firm-settles-cftc-charges-engaging-wash-sales2024-04-06T17:30Znever https://www.findknowdo.com/news/07/08/2019/european-central-bank-asks-largest-eurozone-banks-submit-eu-benchmark-transition-plans2022-12-03T16:44Znever https://www.findknowdo.com/news/07/08/2019/federal-register-finra-proposes-expansion-new-issue-reference-data-corporate-bonds2024-04-12T12:33Znever https://www.findknowdo.com/news/07/08/2019/federal-register-finra-proposes-amend-requirements-research-reports2024-04-12T12:33Znever https://www.findknowdo.com/news/07/08/2019/federal-register-cftc-proposes-codify-process-terminating-relief-foreign-futures-firms2024-04-06T17:30Znever https://www.findknowdo.com/news/07/08/2019/broker-dealer-settles-finra-charges-failing-supervise-private-securities-transactions2024-04-12T12:33Znever https://www.findknowdo.com/news/07/08/2019/federal-register-sec-amends-auditor-independence-rules2022-12-03T00:35Znever https://www.findknowdo.com/news/07/08/2019/sec-proposes-reduction-margin-requirements-security-futures2024-04-06T17:30Znever https://www.findknowdo.com/news/07/08/2019/sec-chair-jay-clayton-highlights-benefits-settlement-agreements-over-litigation2024-01-31T19:31Znever https://www.findknowdo.com/news/07/09/2019/sec-and-finra-address-application-broker-dealer-custody-requirements-digital-asset-securities2022-07-04T19:25Znever https://www.findknowdo.com/news/07/09/2019/former-representative-settles-finra-charges-unauthorized-trading2024-04-12T12:33Znever https://www.findknowdo.com/news/07/09/2019/broker-dealer-settles-finra-charges-supervisory-failures2024-04-12T12:33Znever https://www.findknowdo.com/news/07/09/2019/sec-swears-new-commissioner2022-06-18T20:01Znever https://www.findknowdo.com/news/07/09/2019/sec-deputy-chief-accountant-leave-sec2022-06-18T20:01Znever https://www.findknowdo.com/news/07/09/2019/cftc-staff-analyzes-alternative-calculations-swap-dealer-de-minimis-threshold2024-04-06T17:30Znever https://www.findknowdo.com/news/07/09/2019/sec-chair-jay-clayton-responds-criticism-reg.-best-interest2023-05-23T00:07Znever https://www.findknowdo.com/news/07/09/2019/ofac-sanctions-three-iranian-backed-hizballah-officials2024-03-06T23:32Znever https://www.findknowdo.com/news/07/09/2019/cftc-staff-provides-guidance-application-swaps-initial-margin-thresholds2024-04-06T17:30Znever https://www.findknowdo.com/news/07/10/2019/cftc-establishes-advisory-subcommittee-climate-related-risk2024-04-06T17:30Znever https://www.findknowdo.com/news/07/10/2019/agencies-adopt-final-rules-exclude-community-banks-volcker-rule2024-04-12T21:33Znever https://www.findknowdo.com/news/07/10/2019/agencies-adopt-final-amendments-simplifying-capital-rule-certain-banking-organizations2024-04-12T21:33Znever https://www.findknowdo.com/news/07/10/2019/federal-reserve-board-highlights-growing-dangers-synthetic-identity-fraud2024-04-12T21:14Znever https://www.findknowdo.com/news/07/10/2019/arrc-sets-out-guiding-principles-consumer-product-fallback-language2022-06-18T20:01Znever https://www.findknowdo.com/news/07/10/2019/broker-dealer-settles-finra-charges-failing-maintain-supervisory-system2024-04-12T12:33Znever https://www.findknowdo.com/news/07/11/2019/finra-proposes-publishing-ats-volume-data-corporate-bond-and-agency-debt-securities-transactions2024-04-12T12:33Znever https://www.findknowdo.com/news/07/10/2019/sec-and-cftc-request-comment-proposed-reduction-margin-requirement-security-futures2024-04-06T17:30Znever https://www.findknowdo.com/news/07/11/2019/federal-register-finra-proposes-publishing-additional-otc-equity-trading-volume-data2024-04-12T12:33Znever https://www.findknowdo.com/news/07/12/2019/cftc-staff-provides-guidance-separate-accounts2024-04-06T17:30Znever https://www.findknowdo.com/news/07/11/2019/ofac-sanctions-venezuelas-military-counterintelligence-agency2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/07/12/2019/cftc-proposes-cross-border-dco-rule-changes2024-04-06T17:30Znever https://www.findknowdo.com/news/07/16/2019/finra-proposes-three-year-extension-oats-exemptive-authority2024-04-12T12:33Znever https://www.findknowdo.com/news/07/11/2019/house-financial-services-committee-consider-bills-amending-credit-reporting-system2022-06-18T20:19Znever https://www.findknowdo.com/news/07/11/2019/finra-provides-guidance-enforcement-credit-extraordinary-cooperation2024-04-12T12:33Znever https://www.findknowdo.com/news/07/12/2019/fasb-proposes-updates-u.s.-gaap-financial-reporting-taxonomy2024-04-09T14:54Znever https://www.findknowdo.com/news/07/12/2019/broker-dealer-settles-finra-charges-public-offering-violations2024-04-12T12:33Znever https://www.findknowdo.com/news/07/12/2019/federal-register-sec-adopts-retail-best-interest-rulemaking-package2023-05-23T00:07Znever https://www.findknowdo.com/news/07/12/2019/federal-register-finra-proposes-technical-changes-cat-plan-and-reporting-requirements2024-04-12T12:33Znever https://www.findknowdo.com/news/07/12/2019/broker-dealer-settles-charges-facilitating-layering-and-spoofing-activity2024-04-12T12:33Znever https://www.findknowdo.com/news/07/12/2019/senior-counsel-cftc-chair-j.-christopher-giancarlo-leave-cftc2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/12/2019/cftc-updates-data-catalogue-pursuant-data-protection-initiative2024-04-06T17:30Znever https://www.findknowdo.com/news/07/12/2019/doj-antitrust-division-introduces-new-policy-corporate-compliance2024-04-03T19:49Znever https://www.findknowdo.com/news/07/12/2019/arrc-recommends-libor-fallback-language-new-closed-end-residential-adjustable-rate-mortgages2022-06-18T20:01Znever https://www.findknowdo.com/news/07/12/2019/cftc-and-japanese-counterpart-extend-cross-border-regulatory-deference-trading-derivative-platforms2024-04-06T17:30Znever https://www.findknowdo.com/news/07/15/2019/sec-staff-encourage-market-participants-prepare-libor-transition2022-06-18T20:01Znever https://www.findknowdo.com/news/07/15/2019/broker-dealer-settles-finra-trade-reporting-charges-relating-exercise-otc-options2024-04-12T12:33Znever https://www.findknowdo.com/news/07/15/2019/fincen-updates-aml/cft-deficiencies-list2024-04-02T18:51Znever https://www.findknowdo.com/news/07/15/2019/fcms-settle-charges-bunched-orders-and-unauthorized-trading2024-04-06T17:30Znever https://www.findknowdo.com/news/07/15/2019/korean-commodity-exchange-settles-charges-failing-implement-stress-test-findings2024-04-06T17:30Znever https://www.findknowdo.com/news/07/30/2019/reg.-tracker-july-15-july-312022-06-18T20:01Znever https://www.findknowdo.com/news/07/16/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:33Znever https://www.findknowdo.com/news/07/16/2019/nydfs-grants-virtual-currency-licences2024-02-03T23:12Znever https://www.findknowdo.com/news/07/17/2019/trade-associations-propose-revisions-frb-proposal-control-rules2024-04-12T21:14Znever https://www.findknowdo.com/news/07/16/2019/facebook-executive-responds-regulatory-concerns-over-proposed-cryptocurrency2022-07-04T22:23Znever https://www.findknowdo.com/news/07/16/2019/fdic-adopts-amendments-streamline-process-deposit-insurance-determinations2024-04-12T18:02Znever https://www.findknowdo.com/news/07/16/2019/federal-reserve-bank-new-york-president-urges-market-participants-prepare-end-libor2024-04-12T21:14Znever https://www.findknowdo.com/news/07/16/2019/fincen-reports-spike-reported-business-email-compromise-scams2024-04-02T18:51Znever https://www.findknowdo.com/news/07/16/2019/sec/nasaa-provide-guidance-application-securities-laws-opportunity-zone-investments2024-02-03T22:51Znever https://www.findknowdo.com/news/07/17/2019/nfa-reminds-members-comply-latest-aml/cft-deficiencies-list2024-04-05T19:34Znever https://www.findknowdo.com/news/07/17/2019/cpo-and-principal-settle-nfa-charges-making-improper-loans-and-advances2024-04-05T19:34Znever https://www.findknowdo.com/news/07/17/2019/house-financial-services-committee-considers-testimony-implications-libra2022-07-02T22:30Znever https://www.findknowdo.com/news/07/17/2019/banking-agencies-extend-review-certain-foreign-funds-under-volcker-rule2024-04-12T21:33Znever https://www.findknowdo.com/news/07/17/2019/cftc-chair-heath-p.-tarbert-announces-leadership-team2024-04-06T17:30Znever https://www.findknowdo.com/news/07/17/2019/broker-dealers-settle-finra-charges-failing-waive-certain-mutual-funds-sales-charges2024-04-12T12:33Znever https://www.findknowdo.com/news/07/17/2019/facebook-agrees-work-irs-address-cryptocurrency-concerns2022-07-02T23:57Znever https://www.findknowdo.com/news/07/17/2019/finra-reminds-firms-trade-reporting-requirements-step-out-submissions2024-04-12T12:33Znever https://www.findknowdo.com/news/07/18/2019/isda-provides-guidance-post-brexit-financial-services-uk-market-participants2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/18/2019/finra-provides-guidance-private-placement-filings-and-public-offering-reviews2024-04-12T12:33Znever https://www.findknowdo.com/news/07/18/2019/sifma-urges-new-jersey-pause-enacting-state-specific-reg.-bi-standard2023-05-23T00:07Znever https://www.findknowdo.com/news/07/18/2019/ofac-targets-individuals-and-entities-involved-iranian-nuclear-enrichment-network2024-03-06T23:32Znever https://www.findknowdo.com/news/07/18/2019/iosco-defends-2018-liquidity-risk-management-recommendations2022-12-03T16:45Znever https://www.findknowdo.com/news/07/18/2019/ofac-sanctions-individuals-human-rights-abuses-and-corruption-iraq2024-03-06T23:32Znever https://www.findknowdo.com/news/07/18/2019/former-portfolio-manager-settles-cftc-charges-fraudulently-mismarking-swap-valuations2024-04-06T17:30Znever https://www.findknowdo.com/news/07/18/2019/cftc-chair-heath-p.-tarbert-names-agency-directors2024-04-06T17:30Znever https://www.findknowdo.com/news/07/22/2019/uk-ico-proposes-draft-code-data-sharing2024-02-05T17:32Znever https://www.findknowdo.com/news/07/19/2019/msrb-finds-no-unintended-consequences-mark-disclosure-rule2024-04-12T00:18Znever https://www.findknowdo.com/news/07/19/2019/finra-reminds-firms-report-activities-related-digital-assets2024-04-12T12:33Znever https://www.findknowdo.com/news/07/22/2019/finra-reminds-firms-trace-reporting-requirements2024-04-12T12:33Znever https://www.findknowdo.com/news/07/19/2019/g7-regulators-agree-general-concepts-competition-digital-economy2024-04-03T20:14Znever https://www.findknowdo.com/news/07/19/2019/federal-register-cftc-proposes-certain-cross-border-dco-rule-changes2024-04-06T17:30Znever https://www.findknowdo.com/news/07/19/2019/sec-chair-jay-clayton-highlights-long-term-perspective-main-street-investors2022-06-18T20:19Znever https://www.findknowdo.com/news/07/19/2019/ofac-sanctions-senior-hizballah-operative2024-03-06T23:32Znever https://www.findknowdo.com/news/07/19/2019/export-company-executive-pleads-guilty-doj-charges-violating-iranian-sanctions2024-04-03T19:49Znever https://www.findknowdo.com/news/07/22/2019/lawmakers-introduce-bill-regulate-change-control-transactions2022-06-18T20:01Znever https://www.findknowdo.com/news/07/22/2019/federal-register-agencies-adopt-final-rules-exclude-community-banks-volcker-rule2024-04-12T21:33Znever https://www.findknowdo.com/news/07/22/2019/cme-and-cbot-issue-fines-and-suspensions-trade-practice-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/07/22/2019/frb-provides-information-clo-investors2024-04-12T21:14Znever https://www.findknowdo.com/news/07/22/2019/credit-reporting-agency-agrees-pay-over-575-million-settle-federal-and-state-data-breach-charges2024-04-12T17:07Znever https://www.findknowdo.com/news/07/22/2019/banking-regulators-explain-risk-focused-approach-bsa/aml-supervision2024-04-12T21:33Znever https://www.findknowdo.com/news/07/22/2019/cftc-extends-comment-deadline-swap-data-reporting-proposal2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/07/22/2019/cfpb-updates-advisory-elder-financial-exploitation2024-04-12T17:07Znever https://www.findknowdo.com/news/07/22/2019/microsoft-and-subsidiaries-settle-charges-violating-fcpa2024-04-03T19:49Znever https://www.findknowdo.com/news/07/24/2019/federal-register-ofac-amends-certain-foreign-sanctions-regulations2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/07/23/2019/bcbs-and-iosco-extend-initial-margin-implementation-periods2024-02-05T17:30Znever https://www.findknowdo.com/news/07/23/2019/federal-register-cftc-proposes-cross-border-dco-rule-changes2024-04-06T17:30Znever https://www.findknowdo.com/news/07/23/2019/nasaa-advises-market-participants-opportunity-zone-investments2024-02-03T22:51Znever https://www.findknowdo.com/news/07/23/2019/dsio-clarifies-applicability-aml-requirements-voice-brokers2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/07/24/2019/senate-banking-committee-considers-testimony-safe-banking-act2024-02-12T02:39Znever https://www.findknowdo.com/news/07/23/2019/ofac-sanctions-chinas-state-run-oil-trader-purchasing-iranian-oil2024-03-06T23:32Znever https://www.findknowdo.com/news/07/23/2019/frb-and-fdic-publish-portions-resolution-plans-eight-large-domestic-firms2024-04-12T21:14Znever https://www.findknowdo.com/news/07/24/2019/msrb-proposes-amendments-interpretive-guidance-municipal-securities-dealers-disclosure-requirements2024-04-12T00:18Znever https://www.findknowdo.com/news/07/24/2019/sec-names-new-chief-counsel-division-trading-and-markets2022-06-18T20:19Znever https://www.findknowdo.com/news/07/25/2019/doj-commences-review-big-tech-practices-may-raise-antitrust-concerns2024-04-03T19:49Znever https://www.findknowdo.com/news/07/24/2019/facebook-pay-over-5-billion-settle-federal-data-breach-charges2024-04-03T20:14Znever https://www.findknowdo.com/news/07/24/2019/sifma-publishes-guide-consolidated-audit-trail2022-06-18T20:01Znever https://www.findknowdo.com/news/07/24/2019/ofac-warns-against-doing-business-iranian-airlines2024-03-06T23:32Znever https://www.findknowdo.com/news/07/24/2019/nasaa-advises-companies-and-investors-use-initial-loan-procurements2024-02-03T22:51Znever https://www.findknowdo.com/news/07/24/2019/doj-indicts-chinese-nationals-attempting-evade-north-korean-sanctions2024-04-03T19:49Znever https://www.findknowdo.com/news/07/24/2019/frb-highlights-risks-certain-insurance-policy-indemnifications-dos2024-04-12T21:14Znever https://www.findknowdo.com/news/07/24/2019/ocie-issues-alert-investment-adviser-supervision-individuals-disciplinary-histories2022-06-18T20:19Znever https://www.findknowdo.com/news/07/25/2019/financial-services-committee-chair-maxine-waters-asks-regulators-delay-final-decision-bank-merger-decision2022-06-18T20:19Znever https://www.findknowdo.com/news/07/25/2019/ofac-sanctions-corruption-network-stealing-venezuelas-food-subsidy-program2024-03-06T23:32Znever https://www.findknowdo.com/news/07/25/2019/former-precious-metals-traders-settle-doj-and-cftc-fraud-and-manipulation-charges2024-04-06T17:30Znever https://www.findknowdo.com/news/07/25/2019/occ-updates-comptrollers-handbook-corporate-and-risk-governance-and-internal-and-external-audits2024-04-12T21:33Znever https://www.findknowdo.com/news/07/26/2019/ninth-circuit-reinstates-cftc-anti-fraud-enforcement-action2024-04-06T17:30Znever https://www.findknowdo.com/news/07/26/2019/sec-staff-says-tokens-be-used-video-games-are-not-securities2022-06-18T20:19Znever https://www.findknowdo.com/news/07/30/2019/your-best-interest-new-cabinet-tools-support-regulatory-compliance2019-12-19T22:37Znever https://www.findknowdo.com/news/07/26/2019/t-mobile-and-sprint-settle-antitrust-case-brought-doj-and-state-ags2024-04-03T19:49Znever https://www.findknowdo.com/news/07/26/2019/broker-settles-finra-charges-violating-qualification-examinations-rules-conduct2024-04-12T12:33Znever https://www.findknowdo.com/news/07/26/2019/frb-and-fdic-complete-2018-evaluations-bank-resolution-plans2024-04-12T18:02Znever https://www.findknowdo.com/news/07/26/2019/federal-register-sec-and-cftc-propose-reduction-margin-requirement-security-futures2024-04-06T17:30Znever https://www.findknowdo.com/news/07/29/2019/executive-order-targets-persons-contributing-deteriorating-situation-mali2024-03-06T23:32Znever https://www.findknowdo.com/news/07/29/2019/debt-collection-companies-banned-using-illegal-and-deceptive-practices2022-07-27T22:56Znever https://www.findknowdo.com/news/07/30/2019/finra-proposes-additional-exemptions-ipo-new-issue-rules2024-04-12T12:33Znever https://www.findknowdo.com/news/07/29/2019/sec-chair-jay-clayton-encourages-iac-foster-more-competition2022-06-18T20:19Znever https://www.findknowdo.com/news/07/29/2019/sifma-weighs-massachusetts-proposed-fiduciary-conduct-standard2022-11-13T22:00Znever https://www.findknowdo.com/news/07/29/2019/cyber-unit-chief-leave-sec2022-07-02T22:30Znever https://www.findknowdo.com/news/07/30/2019/sec-chief-economist-highlights-challenges-big-data2022-06-18T20:19Znever https://www.findknowdo.com/news/07/30/2019/msrb-elects-new-leadership-and-highlights-regulatory-initiatives-next-fiscal-year2024-04-12T00:18Znever https://www.findknowdo.com/news/07/31/2019/finra-requests-comment-proposal-require-trace-reporting-foreign-sovereign-debt-transactions2024-04-12T12:33Znever https://www.findknowdo.com/news/07/30/2019/firm-settles-charges-failure-perform-background-checks-associated-persons2024-04-12T12:33Znever https://www.findknowdo.com/news/07/30/2019/trading-firm-principal-settles-cftc-charges-relating-exchange-binary-options2024-04-06T17:30Znever https://www.findknowdo.com/news/07/30/2019/ofac-designates-north-korean-association-u.s.-and-un-sanctioned-entity2024-03-06T23:32Znever https://www.findknowdo.com/news/07/30/2019/sec-chair-jay-clayton-extends-fimsac-charter-one-year2022-06-18T20:19Znever https://www.findknowdo.com/news/07/30/2019/cfpb-requests-comments-proposed-revisions-qualified-mortgage-definition2024-04-12T17:07Znever https://www.findknowdo.com/news/07/30/2019/micronesian-government-official-sentenced-fcpa-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/07/31/2019/fdic-warns-credit-and-market-risk-banking-industry2024-04-12T18:02Znever https://www.findknowdo.com/news/07/31/2019/isda-issues-supplemental-consultation-spread-and-term-adjustments-derivatives-fallbacks2022-06-18T20:19Znever https://www.findknowdo.com/news/07/31/2019/iosco-urges-market-participants-assess-exposure-end-libor2022-06-18T20:19Znever https://www.findknowdo.com/news/08/07/2019/reg.-tracker-august-1-august-152021-01-06T15:33Znever https://www.findknowdo.com/news/07/31/2019/cftc-commissioner-dan-berkovitz-warns-systemic-risk-clearing-services-concentration2024-04-06T17:30Znever https://www.findknowdo.com/news/07/31/2019/nasaa-urges-broker-dealers-update-policies-non-traditional-etfs2024-02-03T22:51Znever https://www.findknowdo.com/news/07/31/2019/federal-register-cfpb-proposes-revisions-qualified-mortgage-definition2024-04-12T17:07Znever https://www.findknowdo.com/news/08/01/2019/federal-register-finra-proposes-three-year-extension-oats-exemptive-authority2024-04-12T12:33Znever https://www.findknowdo.com/news/08/01/2019/cftc-chair-tarbert-names-new-director-division-clearing-and-risk2024-04-06T17:30Znever https://www.findknowdo.com/news/08/01/2019/broker-settles-cftc-spoofing-charges2024-04-06T17:30Znever https://www.findknowdo.com/news/08/01/2019/cftc-implements-changes-weekly-swaps-report2024-04-06T17:30Znever https://www.findknowdo.com/news/08/01/2019/trade-associations-urge-expansion-mmfs-swaps-initial-margin2022-06-18T20:19Znever https://www.findknowdo.com/news/08/01/2019/federal-register-cfpb-amends-implementation-regulation-truth-lending-act2024-04-12T17:07Znever https://www.findknowdo.com/news/08/01/2019/federal-register-dol-adopts-final-rule-allowing-use-multiple-employer-plans2024-04-04T19:20Znever https://www.findknowdo.com/news/08/01/2019/sec-commissioner-hester-peirce-calls-support-crypto-innovation2022-07-02T22:30Znever https://www.findknowdo.com/news/08/01/2019/fia-isda-and-afme-respond-esma-advice-tiering-and-comparable-compliance2022-11-21T13:03Znever https://www.findknowdo.com/news/08/01/2019/isda-updates-global-calendar-otc-derivatives-compliance2022-06-18T20:19Znever https://www.findknowdo.com/news/08/02/2019/house-ag-subcommittee-raises-grave-concerns-over-eu-clearing-regulation2024-01-31T02:33Znever https://www.findknowdo.com/news/08/02/2019/house-and-senate-committee-leaders-support-maintaining-im-requirements-inter-affiliate-swaps2022-06-18T20:19Znever https://www.findknowdo.com/news/08/02/2019/cftc-extends-no-action-relief-certain-position-aggregation-requirements2024-04-06T17:30Znever https://www.findknowdo.com/news/08/02/2019/cftc-chair-heath-tarbert-sponsor-agricultural-advisory-committee2024-04-06T17:30Znever https://www.findknowdo.com/news/08/02/2019/cfpb-extends-comment-period-debt-collection-regulations2024-04-12T17:07Znever https://www.findknowdo.com/news/08/02/2019/sec-sues-adviser-breach-fiduciary-duty-and-undisclosed-conflicts-interest2022-06-18T20:19Znever https://www.findknowdo.com/news/08/02/2019/finra-publishes-cat-onboarding-guide2024-04-12T12:33Znever https://www.findknowdo.com/news/08/02/2019/ofac-sanctions-foreign-minister-iran-involvement-iranian-terrorist-organizations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/08/05/2019/sec-grants-indias-largest-commercial-ports-operator-partial-tender-offer-relief2022-06-18T20:01Znever https://www.findknowdo.com/news/08/05/2019/cftc-chief-innovation-officer-and-director-labcftc-leave-agency-august2024-04-06T17:30Znever https://www.findknowdo.com/news/08/05/2019/ofac-sanctions-russian-federation-chemical-and-biological-weapons-violations2024-03-06T23:32Znever https://www.findknowdo.com/news/08/05/2019/frb-staff-considers-bilateral-versus-central-clearing2024-04-12T21:14Znever https://www.findknowdo.com/news/08/05/2019/democratic-lawmakers-introduce-cannabis-legislation2024-02-12T02:39Znever https://www.findknowdo.com/news/08/05/2019/trader-settles-cme-group-charges-spoofing-related-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/08/05/2019/frb-will-upgrade-u.s.-payment-system-provide-interbank-settlements-real-time2024-04-12T21:14Znever https://www.findknowdo.com/news/08/05/2019/global-regulators-express-concern-libra-networks-ability-protect-consumer-data2024-04-03T20:14Znever https://www.findknowdo.com/news/08/05/2019/broker-dealer-settles-finra-charges-late-trade-reporting2024-04-12T12:33Znever https://www.findknowdo.com/news/08/06/2019/new-york-state-governor-signs-bills-expanding-data-breach-notification-requirements2023-06-10T18:03Znever https://www.findknowdo.com/news/08/05/2019/u.s.-imposes-sweeping-economic-sanctions-against-venezuela-government2022-06-18T20:01Znever https://www.findknowdo.com/news/08/06/2019/lawmakers-introduce-bill-prohibit-foreign-officials-demanding-bribes2024-02-05T02:45Znever https://www.findknowdo.com/news/08/06/2019/what-companies-should-know-about-whistleblowers2024-09-27T22:29Zyearly https://www.findknowdo.com/news/08/08/2019/options-clearing-corporation-proposes-rule-change-enhance-vanilla-option-model-and-smoothing-algorithm2024-04-11T16:37Znever https://www.findknowdo.com/news/08/06/2019/u.s.-treasury-designates-china-currency-manipulator2024-04-02T19:42Znever https://www.findknowdo.com/news/08/06/2019/u.s.-company-settles-ofac-charges-violating-iran-sanctions2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/08/07/2019/isda-aims-identify-areas-opportunity-greater-efficiencies-post-trade-services2022-06-18T20:19Znever https://www.findknowdo.com/news/08/07/2019/nasaa-regulators-target-crypto-related-fraud2024-02-03T22:51Znever https://www.findknowdo.com/news/08/07/2019/msrb-president-lynnette-kelly-retire-new-board-members-appointed2024-04-12T00:18Znever https://www.findknowdo.com/news/08/07/2019/cftc-chair-heath-tarbert-names-new-directors-leadership-team2024-04-06T17:30Znever https://www.findknowdo.com/news/08/07/2019/cfpb-highlights-analysis-use-non-traditional-data-credit-process2024-04-12T17:07Znever https://www.findknowdo.com/news/08/08/2019/nfa-suspends-cpo-and-cta-misleading-information-and-failure-register-commodity-pool2024-04-05T19:34Znever https://www.findknowdo.com/news/08/07/2019/sec-codifies-exemption-rating-agency-disclosure-obligations2024-01-31T14:59Znever https://www.findknowdo.com/news/08/08/2019/federal-register-finra-proposes-additional-exemptions-ipo-new-issue-rules2024-04-12T12:33Znever https://www.findknowdo.com/news/08/08/2019/finra-provides-resources-reg.-bi-implementation2024-04-12T12:33Znever https://www.findknowdo.com/news/08/08/2019/fcm-settles-nfa-charges-failing-adjust-orders-affected-trading-platform-malfunction2024-04-05T19:34Znever https://www.findknowdo.com/news/08/08/2019/ny-state-supreme-court-upholds-nydfs-best-interest-regulation2024-02-03T23:12Znever https://www.findknowdo.com/news/08/09/2019/ofac-finds-two-companies-violation-reporting-regulations2026-06-20T13:21Zmonthly https://www.findknowdo.com/news/08/08/2019/ncua-renames-office-public-and-congressional-affairs2024-04-12T17:29Znever https://www.findknowdo.com/news/08/08/2019/your-best-interest-cabinet-tools-available-support-regulatory-compliance2024-02-04T04:10Znever https://www.findknowdo.com/news/08/09/2019/federal-register-msrb-proposes-amendments-interpretive-guidance-dealer-disclosure-requirements2024-04-12T00:18Znever https://www.findknowdo.com/news/08/09/2019/market-participants-split-trigger-events-ibor-cessation2022-06-18T20:01Znever https://www.findknowdo.com/news/08/09/2019/sec-proposes-amendments-public-company-reporting-requirements2022-06-18T20:19Znever https://www.findknowdo.com/news/08/12/2019/uk-information-commissioners-office-fine-entities-gdpr-violations2024-02-05T17:32Znever https://www.findknowdo.com/news/08/09/2019/sec-commissioner-hester-peirce-champions-marie-kondo-approach-regulation2022-06-18T20:01Znever https://www.findknowdo.com/news/08/09/2019/finra-commences-retrospective-review-rules-affecting-senior-investors2024-04-12T12:33Znever https://www.findknowdo.com/news/08/09/2019/federal-register-frb-will-upgrade-u.s.-payment-system-provide-interbank-settlements-real-time2024-04-12T21:14Znever https://www.findknowdo.com/news/08/12/2019/individual-settles-sec-charges-securities-manipulation-scheme2022-06-18T20:01Znever https://www.findknowdo.com/news/08/12/2019/trade-associations-comment-ccp-default-management-auctions2024-01-31T02:33Znever https://www.findknowdo.com/news/08/12/2019/sec-grants-exemptive-relief-spanish-bank-certain-tender-offer-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/08/12/2019/crs-highlights-eu-data-protection-rules-and-penalties2022-11-15T02:24Znever https://www.findknowdo.com/news/08/12/2019/crs-considers-energy-use-issues-blockchain-technology2022-07-27T19:56Znever https://www.findknowdo.com/news/08/13/2019/finra-charges-former-registered-representatives-failure-report-outside-business-activities2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/08/13/2019/finra-fines-broker-dealer-failing-qualify-traders2024-04-12T12:33Znever https://www.findknowdo.com/news/08/29/2019/workin-swaps-margin2022-06-18T20:19Znever https://www.findknowdo.com/news/08/13/2019/sec-charges-financial-guru-ico-fraud-scheme2022-07-02T22:30Znever https://www.findknowdo.com/news/08/14/2019/federal-register-sec-codifies-exemption-rating-agency-disclosure-obligations2024-01-31T14:59Znever https://www.findknowdo.com/news/08/14/2019/reg.-tracker-august-16-august-312022-06-18T20:01Znever https://www.findknowdo.com/news/08/14/2019/sec-oiea-warns-investors-risks-associated-indexed-annuities2022-06-18T20:19Znever https://www.findknowdo.com/news/08/14/2019/u.s.-district-court-enjoins-company-and-ceo-do-not-call-violations2024-04-03T20:14Znever https://www.findknowdo.com/news/08/14/2019/broker-dealer-settles-sec-charges-publishing-otc-quotes-without-conducting-adequate-reviews2022-06-18T20:19Znever https://www.findknowdo.com/news/08/15/2019/cftc-staff-permits-financial-institution-subsidiary-act-swaps-reporting-counterparty2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/08/15/2019/two-companies-settle-cftc-charges-wheat-futures-price-manipulation2024-04-06T17:30Znever https://www.findknowdo.com/news/08/15/2019/cme-group-issues-fines-and-suspension-trade-practice-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/08/16/2019/sec-advocate-describes-mission-new-office-small-business-capital-formation2022-06-18T20:19Znever https://www.findknowdo.com/news/08/16/2019/trade-credit-insurer-settles-ofac-charges-violating-foreign-narcotics-kingpin-sanctions2026-06-20T14:16Zmonthly https://www.findknowdo.com/news/08/16/2019/cfpb-proposes-settlement-connection-high-interest-credit-offers2024-04-12T17:07Znever https://www.findknowdo.com/news/08/16/2019/regulators-emphasize-importance-capital-investment2022-06-18T20:19Znever https://www.findknowdo.com/news/08/16/2019/broker-dealers-settle-charges-misuse-pre-released-adrs2022-06-18T20:19Znever https://www.findknowdo.com/news/08/19/2019/finra-reminds-firms-potential-municipal-advisor-registration-obligations2024-04-12T12:33Znever https://www.findknowdo.com/news/08/19/2019/nydfs-grants-charter-trust-company-custody-bitcoin2024-02-03T23:12Znever https://www.findknowdo.com/news/08/19/2019/radio-songs-radio-heads2022-06-18T20:19Znever https://www.findknowdo.com/news/08/19/2019/finra-elects-four-new-governors2024-04-12T12:33Znever https://www.findknowdo.com/news/08/20/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:33Znever https://www.findknowdo.com/news/08/20/2019/sifma-recommends-updates-msrb-rules-ethical-standards2022-11-19T03:33Znever https://www.findknowdo.com/news/08/20/2019/fdic-proposes-amending-interest-rate-restrictions-less-well-capitalized-institutions2024-04-12T18:01Znever https://www.findknowdo.com/news/08/20/2019/ofac-sanctions-dominican-republic-based-drug-trafficking-organization2026-06-20T14:16Zmonthly https://www.findknowdo.com/news/08/20/2019/pharmaceutical-company-settles-sec-charges-selective-disclosure-nonpublic-information2022-06-18T20:19Znever https://www.findknowdo.com/news/08/20/2019/volcker-rule-topic-page-now-available-cabinet2024-02-04T04:10Znever https://www.findknowdo.com/news/08/20/2019/occ-and-fdic-approve-interagency-final-rule-amending-volcker-rule2024-04-12T21:33Znever https://www.findknowdo.com/news/08/20/2019/sec-grants-exemptive-relief-etf-tender-offer-rules2022-06-18T20:19Znever https://www.findknowdo.com/news/08/21/2019/sec-provides-proxy-voting-guidance-clarifies-obligations-advisers2022-06-18T20:01Znever https://www.findknowdo.com/news/08/21/2019/ofac-sanctions-china-based-drug-trafficking-organization2026-06-20T14:16Zmonthly https://www.findknowdo.com/news/08/21/2019/collection-investment-advisers-and-funds-topic-pages-available-cabinet2024-02-04T04:10Znever https://www.findknowdo.com/news/08/22/2019/federal-register-sec-adopts-swap-capital-margin-and-segregation-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/08/22/2019/finra-charges-broker-dealer-exorbitant-and-arbitrary-fees2024-04-12T12:33Znever https://www.findknowdo.com/news/08/22/2019/use-cabinet-alerts-regulatory-change-management2024-02-04T04:10Znever https://www.findknowdo.com/news/08/23/2019/federal-register-sec-proposes-amendments-public-company-reporting-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/08/23/2019/two-companies-ask-federal-judge-sanction-cftc-violating-settlement-agreement2024-04-06T17:30Znever https://www.findknowdo.com/news/08/23/2019/national-dog-day-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/08/23/2019/sec-sets-registration-fee-rate-fiscal-year-20202022-06-18T20:01Znever https://www.findknowdo.com/news/08/26/2019/ftc-increases-national-do-not-call-registry-fees-fy-20202024-04-03T20:14Znever https://www.findknowdo.com/news/08/27/2019/finra-fines-general-securities-representatives-failing-disclose-outside-business-activities2024-04-12T12:33Znever https://www.findknowdo.com/news/08/26/2019/cftc-seeks-nominations-and-topics-energy-and-environmental-markets-advisory-committee2024-04-06T17:30Znever https://www.findknowdo.com/news/08/26/2019/exchanges-remind-firms-comply-sanctions-targeting-venezuelan-government2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/08/26/2019/fdic-approves-final-rule-simplify-process-deposit-insurance-determinations2024-04-12T18:01Znever https://www.findknowdo.com/news/08/27/2019/exchanges-update-advisory-notice-block-trades2024-04-05T18:42Znever https://www.findknowdo.com/news/08/27/2019/public-accounting-firm-settles-sec-charges-violating-auditor-independence-rules2022-12-03T00:35Znever https://www.findknowdo.com/news/08/27/2019/fia-urges-further-consideration-cftc-swap-reporting-initiatives2024-01-31T03:11Znever https://www.findknowdo.com/news/08/28/2019/fdic-adds-section-risk-focused-supervision-supervisory-instructions-manual2024-04-12T18:01Znever https://www.findknowdo.com/news/08/28/2019/sec-commissioners-raise-issues-proposed-amendments-reporting-regulations2022-06-18T20:01Znever https://www.findknowdo.com/news/08/28/2019/sec-determines-supreme-court-decision-does-not-stop-finra-banning-bad-brokers2024-04-12T12:33Znever https://www.findknowdo.com/news/08/28/2019/ofac-designates-individuals-and-related-procurement-networks-supporting-irans-missile-programs2024-03-06T23:32Znever https://www.findknowdo.com/news/08/28/2019/sec-approves-options-clearing-corporation-rule-amendments-theoretical-pricing-models2024-04-11T16:37Znever https://www.findknowdo.com/news/08/28/2019/fincen-launches-global-investigations-division2024-04-02T18:51Znever https://www.findknowdo.com/news/08/29/2019/dallas-company-settles-sec-charges-operating-unregistered-digital-asset-exchange2022-07-02T22:30Znever https://www.findknowdo.com/news/08/30/2019/iranian-pleads-guilty-conspiracy-violating-u.s.-sanctions2024-04-03T19:49Znever https://www.findknowdo.com/news/08/30/2019/sec-charges-dual-registrant-defrauding-advisory-clients2022-06-18T20:19Znever https://www.findknowdo.com/news/08/30/2019/ofac-targets-entities-and-individuals-providing-financial-services-designated-terrorist-groups2024-03-06T23:32Znever https://www.findknowdo.com/news/08/30/2019/nymex-fines-brokerage-firm-block-trade-reporting-failures2024-04-05T18:42Znever https://www.findknowdo.com/news/08/30/2019/ofac-designates-taiwan-based-companies-and-individuals-transferring-petroleum-products-north-korea2024-03-06T23:32Znever https://www.findknowdo.com/news/08/30/2019/nymex-fines-and-suspends-traders-spoofing-activity2024-04-05T18:42Znever https://www.findknowdo.com/news/09/12/2019/reg.-tracker-september-1-september-152022-06-18T20:01Znever https://www.findknowdo.com/news/09/03/2019/ofac-targets-oil-tanker-and-captain-supporting-iranian-designated-entities2024-03-06T23:32Znever https://www.findknowdo.com/news/09/03/2019/ftc-revises-list-broadband-companies-subject-order-file-special-report-privacy-practices2024-04-03T20:14Znever https://www.findknowdo.com/news/09/03/2019/ofac-issues-nicaragua-sanctions-regulations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/09/03/2019/nfa-proposes-amendments-cpo-and-cta-disclosure-and-performance-reporting2024-04-05T19:34Znever https://www.findknowdo.com/news/09/03/2019/cme-and-cbot-fine-and-suspend-traders-entering-orders-without-intent-trade2024-04-05T18:42Znever https://www.findknowdo.com/news/09/04/2019/nfa-proposes-amendments-expand-applicability-and-substance-marketing-rules2024-04-05T19:34Znever https://www.findknowdo.com/news/09/04/2019/federal-register-fdic-proposes-amending-interest-rate-restrictions-less-well-capitalized-institutions2024-04-12T18:01Znever https://www.findknowdo.com/news/09/04/2019/companies-settle-ftc-charges-eu-u.s.-privacy-shield-violations2024-04-03T20:14Znever https://www.findknowdo.com/news/09/04/2019/google-and-youtube-agree-pay-170-million-settlement-coppa-violation2023-06-10T18:03Znever https://www.findknowdo.com/news/09/04/2019/sec-designates-taiwan-stock-exchange-designated-offshore-securities-market2022-06-18T20:19Znever https://www.findknowdo.com/news/09/04/2019/finra-sets-date-upcoming-elections-small-firm-and-regional-committees2024-04-12T12:33Znever https://www.findknowdo.com/news/09/05/2019/options-clearing-corp.-settles-sec-and-cftc-charges-risk-management-compliance-failings2024-04-06T17:30Znever https://www.findknowdo.com/news/09/05/2019/frb-vice-chair-proposes-modifications-stress-testing-program-proposal2024-04-12T21:12Znever https://www.findknowdo.com/news/09/05/2019/ocie-warns-advisers-comply-principal-trading-and-agency-cross-transaction-provisions2022-06-18T20:19Znever https://www.findknowdo.com/news/09/05/2019/sec-chair-jay-clayton-highlights-fundamental-tenets-embodied-proxy-regulations2022-06-18T20:19Znever https://www.findknowdo.com/news/09/06/2019/nydfs-approves-first-gold-backed-virtual-currency2024-02-03T23:12Znever https://www.findknowdo.com/news/09/06/2019/sifma-urges-reform-ccar-framework-finds-key-components-not-reasonably-plausible2022-06-18T20:19Znever https://www.findknowdo.com/news/09/06/2019/sec-revises-approach-proxy-no-action-requests2022-06-18T20:19Znever https://www.findknowdo.com/news/09/06/2019/auto-dealer-software-company-settles-ftc-charges-failing-adequately-protect-consumer-data2024-04-03T20:14Znever https://www.findknowdo.com/news/09/06/2019/ofac-strengthens-cuba-sanctions-rules2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/06/2019/frb-proposes-capital-requirements-certain-supervised-insurance-companies2024-04-12T21:12Znever https://www.findknowdo.com/news/09/06/2019/treasury-issues-mortgage-reform-plan2024-04-02T19:42Znever https://www.findknowdo.com/news/09/09/2019/nasaa-highlights-rising-cybersecurity-deficiencies-among-investment-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/09/09/2019/representative-sanctioned-unsuitable-recommendation-complex-financial-product2024-04-12T12:32Znever https://www.findknowdo.com/news/09/09/2019/ofac-issues-general-license-authorized-transactions-government-venezuela2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/09/2019/sec-chair-jay-clayton-criticizes-foreign-counterparts-lack-anti-corruption-enforcement2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/09/09/2019/associated-person-settles-cftc-and-cme-charges-unauthorized-trading-violating-position-limits2024-04-06T17:30Znever https://www.findknowdo.com/news/09/10/2019/federal-register-sec-issues-proxy-advisor-guidance-and-rule-interpretations2022-06-18T20:01Znever https://www.findknowdo.com/news/09/10/2019/state-attorneys-general-challenge-sec-regulation-best-interest2022-11-13T21:39Znever https://www.findknowdo.com/news/09/10/2019/sec-proposes-measures-expedite-implementation-cat2024-01-31T19:31Znever https://www.findknowdo.com/news/09/10/2019/president-trump-signs-executive-order-strengthen-sanctions-authorities2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/09/10/2019/cftc-grants-no-action-relief-cpo-registration-requirements2024-04-06T17:30Znever https://www.findknowdo.com/news/09/11/2019/sec-chief-accountant-highlights-libor-transition-reporting-and-auditing-issues2022-06-18T20:19Znever https://www.findknowdo.com/news/09/10/2019/nasaa-summarizes-recent-state-enforcement-trends2024-02-03T22:51Znever https://www.findknowdo.com/news/09/10/2019/former-cco-settles-finra-charges-failure-update-information-within-required-time-period2024-04-12T12:32Znever https://www.findknowdo.com/news/09/10/2019/fcm-settles-cftc-charges-providing-insufficient-audit-trail-data2024-04-06T17:30Znever https://www.findknowdo.com/news/09/11/2019/congressional-representative-introduces-bill-increase-protection-proprietary-information-under-cea2022-06-18T20:19Znever https://www.findknowdo.com/news/09/12/2019/financial-services-subcommittee-examines-private-market-exemptions2022-06-18T20:19Znever https://www.findknowdo.com/news/09/12/2019/representative-proposes-exempt-charitable-organizations-cpo-regulation2022-06-18T20:19Znever https://www.findknowdo.com/news/09/11/2019/newly-elected-nasaa-president-outlines-priorities2024-02-03T22:51Znever https://www.findknowdo.com/news/09/11/2019/treasury-undersecretary-highlights-executive-order-enhancing-counterterrorism-and-sanctions-authority2024-03-06T23:32Znever https://www.findknowdo.com/news/09/11/2019/sec-grants-exemption-real-estate-investment-trust-repurchase-shares2022-06-18T20:19Znever https://www.findknowdo.com/news/09/11/2019/cftc-issues-2019-schedule-fees-oversight-sros2024-04-06T17:30Znever https://www.findknowdo.com/news/09/12/2019/fincen-deputy-director-encourages-anti-money-laundering-innovation2024-04-02T18:51Znever https://www.findknowdo.com/news/09/12/2019/sec-division-corporation-finance-associate-director-retire2022-06-18T20:19Znever https://www.findknowdo.com/news/09/12/2019/isda-provides-guidelines-automated-collateral-management2022-06-18T20:01Znever https://www.findknowdo.com/news/09/12/2019/senate-committee-members-skeptical-international-insurance-regulation2024-01-30T18:16Znever https://www.findknowdo.com/news/09/12/2019/house-approves-bill-improve-agency-coordination-bank-services-company-examinations2022-06-18T20:19Znever https://www.findknowdo.com/news/09/12/2019/nfa-updates-faqs-concerning-new-swaps-proficiency-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/09/13/2019/federal-register-sec-proposes-measures-expedite-implementation-cat2024-01-31T19:31Znever https://www.findknowdo.com/news/09/13/2019/cco-settles-cftc-fraud-and-misrepresentation-charges2024-04-06T17:30Znever https://www.findknowdo.com/news/09/13/2019/cftc-clarifies-treatment-fcm-separate-accounts2024-04-06T17:30Znever https://www.findknowdo.com/news/09/13/2019/cftc-european-commission-reaffirm-mutual-commitment-implement-g20-reforms2024-04-06T17:30Znever https://www.findknowdo.com/news/09/13/2019/msrb-raises-professional-fee-municipal-advisors2024-04-12T00:18Znever https://www.findknowdo.com/news/09/13/2019/sec-provides-small-entity-compliance-guides-form-crs-and-reg.-bi2023-05-23T00:07Znever https://www.findknowdo.com/news/09/13/2019/cftc-extends-comment-deadline-cross-border-proposals2024-04-06T17:30Znever https://www.findknowdo.com/news/09/13/2019/fcm-settles-cftc-charges-resulting-cybersecurity-failure2024-04-06T17:30Znever https://www.findknowdo.com/news/09/13/2019/fasb-requests-comments-accounting-libor-transition2024-04-09T14:54Znever https://www.findknowdo.com/news/09/13/2019/ofac-sanctions-north-korean-cyber-groups-malicious-activity2024-03-06T23:32Znever https://www.findknowdo.com/news/09/13/2019/sec-sues-investment-advisory-charging-clients-improper-transaction-costs2022-06-18T20:19Znever https://www.findknowdo.com/news/09/16/2019/doj-and-cftc-charge-metals-traders-spoofing-and-racketeering2024-04-06T17:30Znever https://www.findknowdo.com/news/09/16/2019/federal-register-cfpb-guidance-no-action-relief-product-sandbox-and-trial-disclosure-program2024-04-12T17:07Znever https://www.findknowdo.com/news/09/16/2019/ftc-policy-and-planning-director-reports-agency-review-anticompetitive-implications-common-ownership-investments2024-04-03T20:14Znever https://www.findknowdo.com/news/09/16/2019/house-financial-services-subcommittee-considers-testimony-mitigating-risks-ai2022-06-18T20:19Znever https://www.findknowdo.com/news/09/16/2019/sec-chair-jay-clayton-promotes-entrepreneurial-ecosystem-small-business-development2022-06-18T20:01Znever https://www.findknowdo.com/news/09/16/2019/cftc-market-risk-advisory-committee-approves-plain-english-libor-disclosures2024-04-06T17:30Znever https://www.findknowdo.com/news/09/16/2019/interdealer-broker-settles-cftc-charges-making-false-statements2024-04-06T17:29Znever https://www.findknowdo.com/news/09/16/2019/broker-dealer-settles-finra-charges-delayed-disclosure-potential-employee-misconduct2024-04-12T12:32Znever https://www.findknowdo.com/news/09/16/2019/former-alabama-resident-pleads-guilty-doj-charges-concealment-terrorism-financing2024-04-03T19:49Znever https://www.findknowdo.com/news/09/16/2019/cftc-proposes-revisions-rulemaking-procedures2024-04-06T17:29Znever https://www.findknowdo.com/news/09/16/2019/cftc-adopts-amendments-position-limits2024-04-06T17:29Znever https://www.findknowdo.com/news/09/17/2019/cftc-names-new-director-division-market-oversight2024-04-06T17:29Znever https://www.findknowdo.com/news/09/17/2019/finra-publish-additional-otc-equity-trading-volume-data2024-04-12T12:32Znever https://www.findknowdo.com/news/09/17/2019/broker-dealers-settle-sec-charges-deficient-electronic-blue-sheet-data2022-06-18T20:19Znever https://www.findknowdo.com/news/09/17/2019/cme-group-issues-fines-trade-practice-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/09/17/2019/investment-advisers-settle-sec-charges-breaches-duty-advised-funds2022-06-18T20:19Znever https://www.findknowdo.com/news/09/18/2019/precious-metals-refiner-settles-cftc-spoofing-charges2024-04-06T17:29Znever https://www.findknowdo.com/news/09/18/2019/sec-commissioner-hester-peirce-emphasizes-importance-cross-border-regulatory-harmonization2024-02-05T02:45Znever https://www.findknowdo.com/news/09/17/2019/fdic-proposes-amendments-swap-margin-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/09/18/2019/mortgage-lenders-and-sifma-comment-cfpb-revisions-qualified-mortgage-definition2022-06-18T20:19Znever https://www.findknowdo.com/news/09/17/2019/second-circuit-upholds-dismissal-class-action-brought-under-cea2021-02-01T19:54Znever https://www.findknowdo.com/news/09/18/2019/cfpb-considers-using-tech-sprints-encourage-regulatory-innovation2024-04-12T17:07Znever https://www.findknowdo.com/news/09/18/2019/treasury-issues-proposed-cfius-regulations-expanding-review-foreign-investment-transactions2024-04-02T19:42Znever https://www.findknowdo.com/news/09/18/2019/sec-proposes-update-bank-holding-company-statistical-disclosure-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/09/19/2019/ofac-sanctions-individuals-involved-corruption-venezuelas-food-subsidy-program2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/18/2019/bitcoin-etf-proposal-withdrawn2023-04-25T22:32Znever https://www.findknowdo.com/news/09/18/2019/nfa-permanently-bars-cta-and-principal2024-04-05T19:34Znever https://www.findknowdo.com/news/09/18/2019/ninth-circuit-rules-linkedin-cannot-block-data-scraping2022-11-16T00:58Znever https://www.findknowdo.com/news/09/18/2019/investment-advisors-settle-sec-charges-improper-advisory-fees-and-excessive-commissions2022-06-18T20:19Znever https://www.findknowdo.com/news/09/18/2019/ftc-supports-cfpb-proposal-amend-debt-collection-practices2024-04-03T20:14Znever https://www.findknowdo.com/news/09/19/2019/cfpb-highlights-supervisory-exam-findings-consumer-loans2024-05-07T13:16Znever https://www.findknowdo.com/news/09/19/2019/sec-charges-digital-asset-incubator-offering-unregistered-securities2022-07-02T22:30Znever https://www.findknowdo.com/news/09/19/2019/regulators-urge-firms-mitigate-risks-manufactured-events-credit-derivatives-markets2024-04-06T17:29Znever https://www.findknowdo.com/news/09/19/2019/finra-head-enforcement-susan-schroeder-step-down2024-04-12T12:32Znever https://www.findknowdo.com/news/09/19/2019/cftc-commissioner-dawn-stump-questions-esma-approach-ccp-regulation2024-04-06T17:29Znever https://www.findknowdo.com/news/09/20/2019/isda-issues-consultation-final-spread-and-term-adjustments-derivatives-fallbacks2022-06-18T20:19Znever https://www.findknowdo.com/news/09/19/2019/sec-adopts-recordkeeping-and-reporting-requirements-security-based-swaps-dealers2022-06-18T20:19Znever https://www.findknowdo.com/news/09/20/2019/cme-launch-options-bitcoin-futures2024-04-05T18:42Znever https://www.findknowdo.com/news/09/20/2019/adviser-settles-sec-charges-failing-register-and-misrepresentation2022-11-13T21:13Znever https://www.findknowdo.com/news/09/20/2019/sec-commissioner-elad-roisman-calls-reassessment-equity-market-structure-regulation2022-06-18T20:19Znever https://www.findknowdo.com/news/09/20/2019/ofac-sanctions-iranian-entities-providing-financial-support-terrorist-network2024-03-06T23:32Znever https://www.findknowdo.com/news/09/20/2019/members-settle-chicago-board-trade-practice-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/09/23/2019/federal-register-cftc-proposes-revisions-rulemaking-procedures2024-04-06T17:29Znever https://www.findknowdo.com/news/09/24/2019/finra-provides-qas-amended-trace-reporting-requirements-certain-treasury-securities2024-04-12T12:32Znever https://www.findknowdo.com/news/09/26/2019/investment-fund-defends-its-tax-treatment-basket-options2026-01-25T15:56Zyearly https://www.findknowdo.com/news/09/23/2019/finra-provides-faqs-more-compelling-electronic-disclosure2024-04-12T12:32Znever https://www.findknowdo.com/news/09/23/2019/attorneys-general-urge-cfpb-reconsider-proposal-debt-collection2024-04-12T17:07Znever https://www.findknowdo.com/news/09/23/2019/treasury-deputy-secretary-cites-recent-developments2024-04-02T19:42Znever https://www.findknowdo.com/news/09/23/2019/nfa-charges-introducing-broker/cta-recordkeeping-reporting-and-marketing-violations2024-04-05T19:34Znever https://www.findknowdo.com/news/09/23/2019/msrb-publishes-fiscal-year-2020-budget2024-04-12T00:18Znever https://www.findknowdo.com/news/09/23/2019/automaker-settles-sec-charges-failing-disclose-former-ceos-benefits-package2022-06-18T20:19Znever https://www.findknowdo.com/news/09/24/2019/fdic-updates-qas-deposit-insurance-application-process2024-04-12T18:01Znever https://www.findknowdo.com/news/09/23/2019/ny-fed-president-reminds-market-participants-fast-approaching-end-libor2024-04-12T21:12Znever https://www.findknowdo.com/news/09/24/2019/sec-provides-testimony-fy-2019-developments2022-06-18T20:19Znever https://www.findknowdo.com/news/09/24/2019/ofac-sanctions-target-entities-enabling-venezuelas-oil-sector2024-03-06T23:32Znever https://www.findknowdo.com/news/09/24/2019/fincen-warns-financial-institutions-better-protect-personal-data2024-04-02T18:51Znever https://www.findknowdo.com/news/09/24/2019/sec-commissioner-urges-consideration-sec-oversight-rules-treasury-market2022-06-18T20:19Znever https://www.findknowdo.com/news/09/25/2019/cftc-advisory-committee-considers-swap-margin-implementation-and-proposed-emir-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/09/25/2019/house-subcommittee-considers-bills-promote-financial-stability-frb-governor-identifies-current-risks2022-06-18T20:01Znever https://www.findknowdo.com/news/09/25/2019/sifma-opposes-bill-overturn-supreme-court-decision-sec-disgorgement-claims2022-06-18T20:01Znever https://www.findknowdo.com/news/09/25/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:32Znever https://www.findknowdo.com/news/09/25/2019/ici-and-mfa-respond-sec-concept-release-securities-act-registration-exemptions2022-06-18T20:19Znever https://www.findknowdo.com/news/09/25/2019/trading-entity-settles-cftc-charges-exceeding-position-limits-futures-contracts2024-04-06T17:29Znever https://www.findknowdo.com/news/09/26/2019/data-services-company-settles-sec-charges-accounting-and-disclosure-violations2022-06-18T20:19Znever https://www.findknowdo.com/news/09/25/2019/broker-dealer-settles-sec-charges-failure-protect-subscribers-confidential-information2023-06-04T12:49Znever https://www.findknowdo.com/news/09/26/2019/cme-charges-broker-dealer-exceeding-position-limit-soybean-meal-futures2024-04-05T18:42Znever https://www.findknowdo.com/news/09/26/2019/house-passes-safe-banking-act2024-02-12T02:39Znever https://www.findknowdo.com/news/09/27/2019/iosco-examines-efforts-prevent-mis-selling-complex-financial-products2022-06-18T20:19Znever https://www.findknowdo.com/news/09/26/2019/cftc-dsio-director-explains-programmatic-approach-regulation2024-04-06T17:29Znever https://www.findknowdo.com/news/09/26/2019/sec-adopts-final-rule-updating-etf-approval-process2022-06-18T20:01Znever https://www.findknowdo.com/news/09/26/2019/sec-extends-test-waters-accommodation-all-issuers2022-06-18T20:01Znever https://www.findknowdo.com/news/09/26/2019/sec-proposes-amending-rule-governing-quotations-otc-securities2022-06-18T20:01Znever https://www.findknowdo.com/news/09/26/2019/nydfs-joins-international-climate-change-coalition2024-02-03T23:12Znever https://www.findknowdo.com/news/09/27/2019/senate-banking-committee-considers-testimony-frb-upgrade-u.s.-payment-system2024-04-12T21:12Znever https://www.findknowdo.com/news/09/27/2019/federal-register-cftc-amends-position-limits-security-futures-products2024-04-06T17:29Znever https://www.findknowdo.com/news/09/27/2019/cftc-commissioner-berkovitz-urges-agency-use-fintech2024-04-06T17:29Znever https://www.findknowdo.com/news/09/27/2019/senators-introduce-bill-require-reporting-beneficial-ownership-information2022-06-18T20:01Znever https://www.findknowdo.com/news/09/27/2019/marketing-and-printing-services-provider-settles-fcpa-charges2022-06-18T20:01Znever https://www.findknowdo.com/news/09/27/2019/agencies-raise-appraisal-threshold-residential-real-estate-transactions2024-04-12T21:32Znever https://www.findknowdo.com/news/09/30/2019/finra-amends-investment-fund-research-rules-conform-fair-act2024-04-12T12:32Znever https://www.findknowdo.com/news/09/27/2019/cftc-dsio-director-indicates-sd-capital-reproposal-coming-soon2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/09/30/2019/finra-proposes-extending-pilot-market-wide-circuit-breakers-nms-stocks2024-04-12T12:32Znever https://www.findknowdo.com/news/09/30/2019/federal-register-msrb-raises-professional-fee-municipal-advisors2024-04-12T00:18Znever https://www.findknowdo.com/news/09/30/2019/cftc-awards-whistleblower-approximately-7-million2024-04-06T17:29Znever https://www.findknowdo.com/news/09/30/2019/ofac-sanctions-russian-actors-attempting-disrupt-2018-u.s.-midterm-elections2026-06-20T14:35Zmonthly https://www.findknowdo.com/news/10/01/2019/treasury-and-fhfa-agree-modify-fannie-mae-and-freddie-mac-preferred-stock-purchase-agreements2024-04-02T19:42Znever https://www.findknowdo.com/news/09/30/2019/sec-adopts-revisions-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/09/30/2019/cftc-and-doj-file-charges-against-principal-false-statements-concerning-bitcoin2024-04-06T17:29Znever https://www.findknowdo.com/news/09/30/2019/fdic-names-new-deputy-director-and-chief-staff-division-risk-management-supervision2024-04-12T18:01Znever https://www.findknowdo.com/news/09/30/2019/ofac-extends-expiration-dates-venezuelan-general-licenses2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/01/2019/firm-and-founder-settle-cftc-charges-spoofing2024-04-06T17:29Znever https://www.findknowdo.com/news/10/01/2019/global-agribusinesses-settle-cftc-charges-reporting-violations2024-04-06T17:29Znever https://www.findknowdo.com/news/10/01/2019/company-settles-potential-civil-liability-violations-cuban-assets-control-regulations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/01/2019/isda-ceo-calls-changes-current-cva-capital-rules2022-06-18T20:19Znever https://www.findknowdo.com/news/10/02/2019/representatives-propose-bill-designed-increase-financial-transparency2022-06-18T20:01Znever https://www.findknowdo.com/news/10/02/2019/fdic-chair-jelena-mcwilliams-encourages-greater-collaboration-between-community-banks-and-fintechs2024-04-12T18:01Znever https://www.findknowdo.com/news/10/03/2019/occ-lists-bank-supervision-priorities-fy-20202024-04-12T21:32Znever https://www.findknowdo.com/news/10/02/2019/agencies-raise-asset-thresholds-management-interlock-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/10/02/2019/voice-broker-settles-cftc-charges-misappropriating-confidential-customer-information2024-04-06T17:29Znever https://www.findknowdo.com/news/10/02/2019/sec-proposes-rescinding-certain-regulation-nms-provisions-fee-change-amendments2022-12-31T13:33Znever https://www.findknowdo.com/news/10/02/2019/iosco-updates-reports-money-market-fund-regulation-and-securitizations2022-06-18T20:01Znever https://www.findknowdo.com/news/10/02/2019/swap-dealers-settle-charges-reporting-and-other-failures2024-04-06T17:29Znever https://www.findknowdo.com/news/10/02/2019/fcm-settles-cftc-charges-engaging-prohibited-wash-transactions2024-04-06T17:29Znever https://www.findknowdo.com/news/10/03/2019/federal-register-sec-proposes-update-bank-holding-company-statistical-disclosure-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/10/03/2019/broker-dealer-settles-finra-charges-short-positions-municipal-securities-failures2024-04-12T12:32Znever https://www.findknowdo.com/news/10/03/2019/n.y.-ag-launches-online-whistleblower-portal2024-01-30T02:46Znever https://www.findknowdo.com/news/10/03/2019/frb-vice-chair-randal-quarles-reviews-fsb-activity2024-04-12T21:12Znever https://www.findknowdo.com/news/10/03/2019/interdealer-brokers-settle-cftc-and-nyag-charges-fraudulent-fx-options2024-04-06T17:29Znever https://www.findknowdo.com/news/10/03/2019/u.s.-ag-william-barr-highlights-doj-and-sec-enforcement-cooperation2024-04-03T19:49Znever https://www.findknowdo.com/news/10/03/2019/cftc-commissioners-consider-regulatory-compliance-issues-and-technology-solutions2024-04-06T17:29Znever https://www.findknowdo.com/news/10/04/2019/nasaa-warns-millennials-investment-scams2024-02-03T22:51Znever https://www.findknowdo.com/news/10/04/2019/finance-professor-analyzes-market-liquidity-event-blames-clearing-mandates2024-02-04T04:28Znever https://www.findknowdo.com/news/10/04/2019/finra-issue-six-new-rulemaking-proposals2024-04-12T12:32Znever https://www.findknowdo.com/news/10/04/2019/finra-changes-method-calculating-trade-reporting-fees2024-04-12T12:32Znever https://www.findknowdo.com/news/10/04/2019/isda-ceo-warns-potential-risks-relating-dtos-post-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/10/04/2019/federal-register-sec-extends-test-waters-accommodations-all-issuers2022-06-18T20:19Znever https://www.findknowdo.com/news/10/04/2019/fdic-chair-jelena-mcwilliams-appeals-fintech-help2024-04-12T18:01Znever https://www.findknowdo.com/news/10/04/2019/finra-cautions-investors-risks-trading-binary-options2024-04-12T12:32Znever https://www.findknowdo.com/news/10/07/2019/cross-border-agreement-allows-u.s.-and-uk-law-enforcement-expedited-access-tech-company-data2024-04-03T19:49Znever https://www.findknowdo.com/news/10/07/2019/cftc-dsio-director-reviews-compliance-and-supervisory-issues-20202024-04-06T17:29Znever https://www.findknowdo.com/news/10/08/2019/federal-register-agencies-raise-asset-thresholds-management-interlock-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/10/09/2019/sec-and-doj-charge-individuals-bribery-scheme2024-04-03T19:49Znever https://www.findknowdo.com/news/10/08/2019/finra-offers-new-resources-reg.-bi-and-form-crs-implementation2024-04-12T12:32Znever https://www.findknowdo.com/news/10/18/2019/municipal-bonds-research-and-analysis-now-available-cabinet2024-02-04T04:10Znever https://www.findknowdo.com/news/10/08/2019/doj-issues-guidance-inability-pay-claims2024-04-03T19:49Znever https://www.findknowdo.com/news/10/08/2019/sec-cftc-and-federal-reserve-approve-volcker-amendments2024-04-12T21:12Znever https://www.findknowdo.com/news/10/09/2019/federal-register-finra-changes-method-calculating-trade-reporting-fees2024-04-12T12:32Znever https://www.findknowdo.com/news/10/09/2019/federal-register-irs-proposes-libor-transition-rules2024-04-04T18:51Znever https://www.findknowdo.com/news/10/09/2019/nfa-reminds-members-branch-office-supervision-obligations2024-04-05T19:34Znever https://www.findknowdo.com/news/10/09/2019/msrb-amends-proposed-changes-guidance-certain-municipal-securities-and-advisory-activities2024-04-12T00:18Znever https://www.findknowdo.com/news/10/09/2019/fdic-supplements-proposed-revisions-certain-interest-rate-restrictions2024-04-12T18:01Znever https://www.findknowdo.com/news/10/09/2019/irs-updates-guidance-virtual-currency-transactions2024-04-04T18:51Znever https://www.findknowdo.com/news/10/09/2019/sec-proposes-broker-registration-relief-municipal-advisors2022-06-18T20:19Znever https://www.findknowdo.com/news/10/10/2019/nfa-president-describes-sros-approach-derivatives-regulation2024-04-05T19:34Znever https://www.findknowdo.com/news/10/09/2019/sec-forms-asset-management-advisory-committee2022-06-18T20:19Znever https://www.findknowdo.com/news/10/10/2019/cftc-appoints-new-director-labcftc2024-04-06T17:29Znever https://www.findknowdo.com/news/10/10/2019/finra-amends-proposal-reference-data-new-issues-corporate-bonds2024-04-12T12:32Znever https://www.findknowdo.com/news/10/10/2019/occ-adopts-amendments-company-run-stress-testing-requirements2024-04-12T21:32Znever https://www.findknowdo.com/news/10/10/2019/cftc-dsio-provides-firm-time-limited-no-action-relief-ib/cta-registration2024-04-06T17:29Znever https://www.findknowdo.com/news/10/10/2019/fdic-proposes-rescinding-four-outdated-policy-statements2024-04-12T18:01Znever https://www.findknowdo.com/news/10/10/2019/ofac-sanctions-individuals-corruption-and-misappropriation-south-africa2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/10/10/2019/cfpb-reports-issues-faced-consumers2024-04-12T17:07Znever https://www.findknowdo.com/news/10/10/2019/federal-register-agencies-raise-appraisal-threshold-residential-real-estate-transactions2024-04-12T21:32Znever https://www.findknowdo.com/news/10/10/2019/correction-effective-date-rule-raise-asset-thresholds-management-interlock-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/10/11/2019/federal-register-sec-proposes-rescinding-certain-regulation-nms-provisions-fee-change-amendments2022-12-31T13:33Znever https://www.findknowdo.com/news/10/11/2019/frb-finalizes-framework-applying-prudential-standards-large-banks2024-04-12T21:32Znever https://www.findknowdo.com/news/10/11/2019/broker-dealer-firm-and-ceo-settle-sec-charges-enabling-manipulative-trading-scheme2022-06-18T20:19Znever https://www.findknowdo.com/news/10/11/2019/finra-extends-pilot-deadline-transactions-exchange-listed-securities-20202024-04-12T12:32Znever https://www.findknowdo.com/news/10/11/2019/ftc-bureau-competition-director-step-down2024-04-03T20:14Znever https://www.findknowdo.com/news/10/11/2019/cftc-chair-heath-tarbert-declares-ethereum-a-commodity2024-04-06T17:29Znever https://www.findknowdo.com/news/10/11/2019/agencies-highlight-aml/cft-compliance-obligations-digital-asset-transactions2024-04-06T17:29Znever https://www.findknowdo.com/news/10/11/2019/ofac-sanctions-south-sudanese-individuals-and-associated-entities-bribing-government-officials2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/10/11/2019/msrb-solicits-topics-advisory-group-consideration2024-04-12T00:18Znever https://www.findknowdo.com/news/10/11/2019/msrb-implement-new-exam-requirement-municipal-advisor-principals2024-04-12T00:18Znever https://www.findknowdo.com/news/10/14/2019/sec-makes-technical-corrections-final-rule-establishing-swap-capital-margin-and-segregation-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/10/14/2019/federal-register-msrb-amends-proposed-changes-guidance-certain-municipal-securities-and-advisory-activities2024-04-12T00:18Znever https://www.findknowdo.com/news/10/14/2019/bank-settles-occ-charges-violating-statutory-holding-period-oreo2024-04-12T21:32Znever https://www.findknowdo.com/news/10/14/2019/sec-names-rebekah-goshorn-jurata-pcaob-board2024-01-31T19:31Znever https://www.findknowdo.com/news/10/14/2019/nymex-fines-trader-and-firm-spoofing-and-position-limit-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/10/14/2019/sec-asserts-new-virtual-currency-really-unregistered-security2022-07-02T22:30Znever https://www.findknowdo.com/news/10/16/2019/financial-advisor-pleads-guilty-money-laundering2024-04-03T19:49Znever https://www.findknowdo.com/news/10/15/2019/u.s.-imposes-sanctions-against-turkey-invasion-syria2024-03-06T23:32Znever https://www.findknowdo.com/news/10/15/2019/irs-ask-taxpayers-about-virtual-currency-transactions2024-04-04T18:51Znever https://www.findknowdo.com/news/10/15/2019/msrb-provides-guidance-transaction-close-outs2024-04-12T00:18Znever https://www.findknowdo.com/news/10/15/2019/broker-dealer-settles-finra-charges-msrb-short-system-reporting-failures2024-04-12T12:32Znever https://www.findknowdo.com/news/10/15/2019/california-ag-issues-proposed-regulations-governor-signs-amendments-ccpa2023-06-10T18:03Znever https://www.findknowdo.com/news/10/16/2019/finra-reminds-market-participants-transition-ctci-fix-protocol2024-04-12T12:32Znever https://www.findknowdo.com/news/10/16/2019/cfpb-director-testifies-house-financial-services-committee2024-04-12T17:07Znever https://www.findknowdo.com/news/10/16/2019/cftc-proposes-amendments-swaps-margin-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/10/17/2019/sec-investor-advocate-rick-fleming-warns-increasing-trend-toward-use-dual-class-share-structures2022-06-18T20:19Znever https://www.findknowdo.com/news/10/16/2019/frb-governor-lael-brainard-highlights-legal-and-regulatory-challenges-libra2024-04-12T21:12Znever https://www.findknowdo.com/news/10/17/2019/isda-provides-additional-faqs-potential-no-deal-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/10/17/2019/ny-ag-opposes-cfpb-proposed-amendments-hmda-reporting-requirements2022-11-14T03:44Znever https://www.findknowdo.com/news/10/17/2019/u.s.-banking-regulators-provide-clarity-acls-and-credit-risk-review-systems2024-04-12T21:32Znever https://www.findknowdo.com/news/10/17/2019/sec-charges-china-based-traders-market-manipulation-scheme2022-06-18T20:19Znever https://www.findknowdo.com/news/10/21/2019/house-financial-services-task-force-considers-regulation-cloud-service-providers2022-06-18T20:01Znever https://www.findknowdo.com/news/10/18/2019/fdic-board-member-highlights-regulatory-challenges-large-regional-bank-resolution2024-04-12T18:01Znever https://www.findknowdo.com/news/10/18/2019/counter-hizballah-group-considers-methods-prevent-financial-system-abuse2024-03-06T23:32Znever https://www.findknowdo.com/news/10/18/2019/ofac-extends-expiration-date-venezuela-general-license2024-03-06T23:32Znever https://www.findknowdo.com/news/10/18/2019/u.s.-house-representatives-passes-bill-concerning-disclosure-testing-under-reg-bi2022-06-18T20:19Znever https://www.findknowdo.com/news/10/21/2019/sec-calls-innovative-proposals-thinly-traded-securities2022-12-31T14:06Znever https://www.findknowdo.com/news/10/18/2019/sec-proposes-expediting-routine-requests-exemptive-relief2022-06-18T20:01Znever https://www.findknowdo.com/news/10/18/2019/fdic-and-federal-reserve-board-ask-feedback-camels-rating-system2024-04-12T21:12Znever https://www.findknowdo.com/news/10/21/2019/fatf-outlines-findings-recent-aml/cft-country-reports-and-highlights-risks-stablecoins2022-07-04T22:23Znever https://www.findknowdo.com/news/10/21/2019/cbot-and-cme-issue-fines-trading-and-position-limit-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/10/21/2019/msrb-proposes-changes-content-outline-muni-principal-exam2024-04-12T00:18Znever https://www.findknowdo.com/news/10/22/2019/finra-retain-annual-compliance-meeting-requirement2024-04-12T12:32Znever https://www.findknowdo.com/news/10/21/2019/broker-dealer-pays-fine-late-reporting-trace2024-04-12T12:32Znever https://www.findknowdo.com/news/10/22/2019/isda-reviews-pre-cessation-consultation-responses-covered-ibors2022-06-18T20:19Znever https://www.findknowdo.com/news/10/22/2019/crs-highlights-benefits-and-concerns-about-libra2022-07-27T19:56Znever https://www.findknowdo.com/news/10/22/2019/senate-banking-committee-hears-concerns-about-data-protection-consolidated-audit-trail-system2024-01-31T19:31Znever https://www.findknowdo.com/news/10/22/2019/broker-dealer-settles-finra-charges-violations-close-out-regulation2024-04-12T12:32Znever https://www.findknowdo.com/news/10/22/2019/federal-register-cftc-proposes-certain-amendments-swaps-margin-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/10/22/2019/occ-adopts-new-regulatory-framework-oreo-activities2024-04-12T21:32Znever https://www.findknowdo.com/news/10/22/2019/ofac-extends-expiration-date-venezuela-general-license2024-03-06T23:32Znever https://www.findknowdo.com/news/10/22/2019/individuals-settle-finra-charges-elder-financial-exploitation2024-04-12T12:32Znever https://www.findknowdo.com/news/10/22/2019/finra-reminds-members-vote-committee-representatives2024-04-12T12:32Znever https://www.findknowdo.com/news/10/23/2019/ofac-extends-expiration-date-belarus-general-license2024-03-06T23:32Znever https://www.findknowdo.com/news/10/23/2019/house-passes-bill-requiring-corporations-report-beneficial-ownership-information2022-06-18T20:01Znever https://www.findknowdo.com/news/10/23/2019/state-ags-join-antitrust-investigation-facebook2022-07-27T22:57Znever https://www.findknowdo.com/news/10/23/2019/treasury-secretary-steven-mnuchin-testifies-housing-reform-plan2024-04-02T19:42Znever https://www.findknowdo.com/news/10/23/2019/broker-dealer-settles-finra-charges-trace-reporting-violations2024-04-12T12:32Znever https://www.findknowdo.com/news/10/23/2019/ofac-rescinds-sanctions-against-turkish-ministries-and-senior-officials2024-03-06T23:32Znever https://www.findknowdo.com/news/10/24/2019/facebook-ceo-mark-zuckerberg-defends-libra2022-07-02T22:30Znever https://www.findknowdo.com/news/10/24/2019/federal-register-cftc-proposes-extending-initial-margin-phase-five-implementation2024-04-06T17:29Znever https://www.findknowdo.com/news/10/24/2019/federal-register-frb-proposes-capital-requirements-certain-supervised-insurance-companies2024-04-12T21:12Znever https://www.findknowdo.com/news/10/24/2019/federal-register-finra-extends-pilot-deadline-transactions-exchange-listed-securities2024-04-12T12:32Znever https://www.findknowdo.com/news/10/24/2019/federal-register-sec-adopts-final-rule-updating-etf-approval-process2022-06-18T20:01Znever https://www.findknowdo.com/news/10/24/2019/federal-register-sec-adopts-revisions-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/10/24/2019/fdic-revises-stress-testing-requirements2024-04-12T18:01Znever https://www.findknowdo.com/news/10/24/2019/trading-firm-settles-cftc-charges-acting-unregistered-foreign-exchange-dealer2024-04-06T17:29Znever https://www.findknowdo.com/news/10/24/2019/ofac-issues-general-license-authorized-transactions-iran-related-entity2024-03-06T23:32Znever https://www.findknowdo.com/news/10/24/2019/cftc-makes-labcftc-independent-office-and-provides-ai-primer2024-04-06T17:29Znever https://www.findknowdo.com/news/10/24/2019/broker-dealer-settles-finra-charges-aml-program-failures2024-04-12T12:32Znever https://www.findknowdo.com/news/10/25/2019/cftc-extends-comment-deadline-swap-data-reporting-proposal2026-06-20T13:37Zmonthly https://www.findknowdo.com/news/10/25/2019/ofac-replaces-venezuela-related-general-license2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/25/2019/advisory-company-settles-cftc-charges-failure-register-fcm2024-04-06T17:29Znever https://www.findknowdo.com/news/10/25/2019/cftc-commissioner-brian-quintenz-reminds-agency-limited-extraterritorial-authority2024-04-06T17:29Znever https://www.findknowdo.com/news/10/25/2019/nymex-issues-fines-trade-practice-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/10/28/2019/fincen-prohibits-iranian-access-u.s.-financial-system2024-04-02T18:51Znever https://www.findknowdo.com/news/10/25/2019/finra-postpones-implementation-date-rule-amendments-margining-tbas2024-04-12T12:32Znever https://www.findknowdo.com/news/10/28/2019/comex-issues-fines-spoofing2024-04-05T18:42Znever https://www.findknowdo.com/news/10/28/2019/eu-agrees-uk-request-postpone-brexit2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/10/28/2019/prudential-regulators-propose-amendments-swap-margin-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/10/28/2019/frb-and-fdic-adopt-amendments-resolution-planning-requirements2024-04-12T21:12Znever https://www.findknowdo.com/news/10/28/2019/cftc-advisory-committee-establishes-subcommittee-swaps-margin2024-04-06T17:29Znever https://www.findknowdo.com/news/10/30/2019/cfpb-extends-reporting-relief-smaller-institutions-under-hmda-rules2024-04-12T17:07Znever https://www.findknowdo.com/news/10/29/2019/fdic-outlines-key-credit-and-market-risks-banking-industry2024-04-12T18:01Znever https://www.findknowdo.com/news/10/29/2019/banking-agencies-adopt-community-bank-leverage-ratio-rule2024-04-12T21:32Znever https://www.findknowdo.com/news/10/29/2019/sec-allows-a-ny-trust-company-use-blockchain-settle-equities-securities-trades2024-01-31T02:33Znever https://www.findknowdo.com/news/10/30/2019/federal-register-sec-proposes-amending-rule-governing-quotations-otc-securities2022-06-18T20:01Znever https://www.findknowdo.com/news/10/30/2019/federal-register-sec-proposes-expediting-routine-requests-exemptive-relief2022-06-18T20:01Znever https://www.findknowdo.com/news/10/30/2019/its-great-cabinet-pumpkin2024-02-04T04:10Znever https://www.findknowdo.com/news/10/31/2019/bill-reform-bsa-and-anti-money-laundering-laws-passes-house2022-06-18T20:19Znever https://www.findknowdo.com/news/10/30/2019/house-passes-bill-designed-help-under-banked-communities2022-06-18T20:19Znever https://www.findknowdo.com/news/10/31/2019/house-passes-bill-would-expand-uses-crowdfunding2022-06-18T20:19Znever https://www.findknowdo.com/news/10/30/2019/finra-reminds-firms-2020-registration-renewal-and-payment-deadlines2024-04-12T12:32Znever https://www.findknowdo.com/news/10/30/2019/house-agriculture-committee-approves-bill-reauthorize-cftc-through-20252022-06-18T20:19Znever https://www.findknowdo.com/news/10/31/2019/federal-register-fdic-and-federal-reserve-board-ask-feedback-camels-rating-system2024-04-12T21:12Znever https://www.findknowdo.com/news/10/31/2019/cftc-dsio-director-clarifies-goals-thematic-review-program2024-04-06T17:29Znever https://www.findknowdo.com/news/10/31/2019/sec-chair-jay-clayton-requests-comment-asset-level-disclosure-requirements-rmbss2022-06-18T20:19Znever https://www.findknowdo.com/news/10/31/2019/swiss-company-settles-cftc-and-sec-charges-registration-failures2024-04-06T17:29Znever https://www.findknowdo.com/news/10/31/2019/nasaa-waives-firm-fees-ia-registration-depository-system-20202024-02-03T22:51Znever https://www.findknowdo.com/news/10/31/2019/cfpb-and-frb-set-thresholds-exempt-consumer-credit-and-lease-transactions2024-04-12T21:12Znever https://www.findknowdo.com/news/10/31/2019/agencies-increase-exemption-threshold-loan-appraisal-requirements2024-04-12T21:32Znever https://www.findknowdo.com/news/11/01/2019/federal-register-agencies-revise-applicability-thresholds-regulatory-capital-and-liquidity-requirements2024-04-12T21:32Znever https://www.findknowdo.com/news/11/01/2019/broker-dealer-settles-finra-charges-supervisory-and-inspection-failures2024-04-12T12:32Znever https://www.findknowdo.com/news/11/01/2019/federal-register-frb-and-fdic-adopt-amendments-resolution-planning-requirements2024-04-12T21:12Znever https://www.findknowdo.com/news/11/01/2019/federal-register-frb-finalizes-framework-applying-prudential-standards-large-banks2024-04-12T21:12Znever https://www.findknowdo.com/news/11/01/2019/broker-dealer-and-cfo-settle-finra-charges-operating-without-sufficient-net-capital2024-04-12T12:32Znever https://www.findknowdo.com/news/11/01/2019/sec-reminds-registrants-n-port-and-n-cen-filing-requirements2022-06-18T20:19Znever https://www.findknowdo.com/news/11/01/2019/doj-assistant-attorney-general-describes-federal-initiatives-combat-elder-abuse2024-04-03T19:49Znever https://www.findknowdo.com/news/11/01/2019/ofac-extends-two-ukraine-related-general-licenses2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/01/2019/supreme-court-consider-secs-authority-seek-disgorgement2022-06-18T20:01Znever https://www.findknowdo.com/news/11/04/2019/nfa-reminds-firms-designate-swaps-proficiency-requirements-administrator2024-04-05T19:34Znever https://www.findknowdo.com/news/11/04/2019/federal-register-fincen-prohibits-iranian-access-u.s.-financial-system2024-04-02T18:51Znever https://www.findknowdo.com/news/11/05/2019/sec-amends-complaint-against-ceo-include-violations-whistleblower-protections2024-01-30T02:46Znever https://www.findknowdo.com/news/11/04/2019/banking-agencies-amend-effective-date-simplifications-capital-rule2024-04-12T21:32Znever https://www.findknowdo.com/news/11/04/2019/sec-chair-jay-clayton-challenges-experts-fixed-income-capital-markets-issues2024-01-31T14:59Znever https://www.findknowdo.com/news/11/05/2019/irs-removes-section-385-documentation-requirements-proposes-new-rules-distributions2024-04-04T18:51Znever https://www.findknowdo.com/news/11/05/2019/company-and-associates-settle-cftc-charges-registration-failure2024-04-06T17:29Znever https://www.findknowdo.com/news/11/05/2019/federal-reserve-bank-new-york-proposes-publishing-daily-sofr-averages-and-index2024-04-12T21:12Znever https://www.findknowdo.com/news/11/05/2019/federal-register-msrb-proposes-changes-content-outline-muni-principal-exam2024-04-12T00:18Znever https://www.findknowdo.com/news/11/05/2019/sec-proposes-changes-shareholder-proposal-rule2022-06-18T20:01Znever https://www.findknowdo.com/news/11/05/2019/sec-proposes-enhance-accuracy-and-transparency-proxy-voting-advice2022-06-18T20:01Znever https://www.findknowdo.com/news/11/06/2019/cftc-approves-eu-fbot-applications-and-technical-corrections-consumer-data-protection-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/11/05/2019/sec-proposes-amending-investment-adviser-solicitation-and-advertising-rules2022-06-18T20:19Znever https://www.findknowdo.com/news/11/06/2019/ofac-updates-general-licenses-venezuela-and-turkey2024-03-06T23:32Znever https://www.findknowdo.com/news/11/06/2019/att-will-pay-60-million-settle-ftc-charges-unfair-practices2024-04-03T20:13Znever https://www.findknowdo.com/news/11/06/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:31Znever https://www.findknowdo.com/news/11/06/2019/sec-division-enforcement-highlights-2019-investor-protection-and-cybersecurity-initiatives2022-07-02T22:30Znever https://www.findknowdo.com/news/11/06/2019/iosco-says-regulatory-treatment-stablecoins-requires-case-case-approach2022-07-02T21:02Znever https://www.findknowdo.com/news/11/07/2019/federal-register-finra-postpones-implementation-date-rule-amendments-margining-tbas2024-04-12T12:31Znever https://www.findknowdo.com/news/11/07/2019/federal-register-prudential-regulators-propose-amendments-swap-margin-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/11/07/2019/cftc-advisory-committee-considers-alternative-energy-impacts-derivatives-markets2024-04-06T17:29Znever https://www.findknowdo.com/news/11/07/2019/sec-chair-jay-clayton-highlights-issues-investor-advisory-committee2022-06-18T20:19Znever https://www.findknowdo.com/news/11/07/2019/sec-enforcement-division-co-director-describes-recent-efforts-share-class-disclosure-and-conflicts-interest2022-06-18T20:19Znever https://www.findknowdo.com/news/11/08/2019/broker-dealer-settles-finra-charges-supervisory-failures-concerning-share-class-recommendations2024-04-12T12:31Znever https://www.findknowdo.com/news/11/08/2019/sec-identifies-common-compliance-deficiencies-investment-companies2022-06-18T20:19Znever https://www.findknowdo.com/news/11/07/2019/nfa-permanently-bans-cpo/cta-books-and-records-compliance-failures2024-04-05T19:34Znever https://www.findknowdo.com/news/11/08/2019/ib-and-broker-dealer-settle-finra-charges-supervisory-failures-concerning-share-class-recommendations2024-04-12T12:31Znever https://www.findknowdo.com/news/11/08/2019/sec-commissioner-hester-peirce-recommends-changes-enforcement-program2022-06-18T20:19Znever https://www.findknowdo.com/news/11/08/2019/aviation-company-settles-ofac-charges-potential-violations-sudanese-sanctions2026-06-20T13:21Zmonthly https://www.findknowdo.com/news/11/08/2019/cftc-and-doj-sanction-proprietary-trading-firm-spoofing2024-04-06T17:29Znever https://www.findknowdo.com/news/11/08/2019/occ-names-new-deputy-comptroller-operational-risk2024-04-12T21:32Znever https://www.findknowdo.com/news/11/11/2019/fincen-reissues-geographic-targeting-order-2019-20202024-04-02T18:51Znever https://www.findknowdo.com/news/11/11/2019/federal-register-frb-proposes-raising-threshold-regulation-tt-assessments2024-04-12T21:12Znever https://www.findknowdo.com/news/11/11/2019/federal-register-cftc-proposes-technical-corrections-consumer-data-protection-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/11/11/2019/automaker-settles-cftc-and-nymex-charges-disruptive-trading-practices-precious-metals-futures2024-04-06T17:29Znever https://www.findknowdo.com/news/11/11/2019/finra-amends-proposal-expand-ipo-new-issue-rules-exemptions2024-04-12T12:31Znever https://www.findknowdo.com/news/11/11/2019/frb-proposes-extending-compliance-dates-single-counterparty-credit-limits2024-04-12T21:12Znever https://www.findknowdo.com/news/11/11/2019/finra-reminds-broker-dealers-2020-2021-required-filing-deadlines2024-04-12T12:31Znever https://www.findknowdo.com/news/11/12/2019/sec-approves-changes-msrb-guidance-underwriters-disclosure-obligations2024-04-12T00:18Znever https://www.findknowdo.com/news/11/12/2019/cme-group-launch-bitcoin-futures-contracts-options2024-04-05T18:42Znever https://www.findknowdo.com/news/12/05/2019/sharpen-results-cabinet-search2024-02-04T04:10Znever https://www.findknowdo.com/news/11/12/2019/finra-proposes-limits-associated-persons-acting-customer-trusts2024-04-12T12:31Znever https://www.findknowdo.com/news/11/12/2019/trade-associations-urge-european-commission-extend-temporary-equivalence-uk-ccps2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/11/12/2019/broker-dealer-settles-finra-charges-failure-properly-handle-limit-orders2024-04-12T12:31Znever https://www.findknowdo.com/news/11/13/2019/sec-commissioner-allison-herren-lee-recommends-improvements-esg-disclosures2022-06-18T20:19Znever https://www.findknowdo.com/news/11/13/2019/sec-chair-jay-clayton-challenges-advisory-committee-improve-private-offering-regulation2022-06-18T20:01Znever https://www.findknowdo.com/news/11/13/2019/msrb-proposes-enhancements-emma-website2024-04-12T00:18Znever https://www.findknowdo.com/news/11/14/2019/cme-launch-block-cheese-futures-and-options-20202024-04-05T18:42Znever https://www.findknowdo.com/news/11/14/2019/cftc-names-chair-and-members-new-climate-related-market-risk-subcommittee2024-04-06T17:29Znever https://www.findknowdo.com/news/11/14/2019/house-financial-services-committee-considers-bills-protect-against-predatory-debt-collection-practices2022-06-18T20:19Znever https://www.findknowdo.com/news/11/15/2019/nfa-announces-date-amendments-promotional-material-rules-and-interpretive-notices2024-04-05T19:34Znever https://www.findknowdo.com/news/11/15/2019/fdic-analyzes-growth-nonbank-lending2024-04-12T18:01Znever https://www.findknowdo.com/news/11/15/2019/ffiec-emphasizes-expanded-role-information-technology-updated-business-continuity-guidance2024-04-12T18:01Znever https://www.findknowdo.com/news/11/15/2019/organizers-unregistered-ico-offering-settle-sec-charges2022-07-02T22:30Znever https://www.findknowdo.com/news/11/15/2019/chair-jay-clayton-talks-sec-approach-regulatory-modernization2022-06-18T20:01Znever https://www.findknowdo.com/news/11/15/2019/sec-chair-clayton-expresses-support-efforts-improve-municipal-issuer-disclosure-practices2024-02-04T21:05Znever https://www.findknowdo.com/news/11/18/2019/nfa-reminds-swaps-firms-annual-dues-surcharge2024-04-05T19:34Znever https://www.findknowdo.com/news/11/18/2019/cftc-dsio-director-considers-regulatory-oversight-cpos-and-ctas2024-04-06T17:29Znever https://www.findknowdo.com/news/11/18/2019/sec-provides-fy-2019-annual-report-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/11/19/2019/four-asset-management-firms-request-no-action-relief-use-non-transparent-etfs2022-06-18T20:01Znever https://www.findknowdo.com/news/11/18/2019/isda-summarizes-responses-consultation-final-parameters-benchmark-fallback-adjustments2022-06-18T20:01Znever https://www.findknowdo.com/news/11/18/2019/nydfs-superintendent-proposes-streamlined-disclosure-processes-legal-counsel-and-independent-auditors2024-02-03T23:12Znever https://www.findknowdo.com/news/11/19/2019/frb-corrects-comment-date-raising-threshold-regulation-tt-assessments2024-04-12T21:12Znever https://www.findknowdo.com/news/11/19/2019/fincen-director-kenneth-blanco-reminds-market-participants-comply-aml-virtual-currency-regulations2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/11/19/2019/nymex-denies-traders-and-trading-firm-access-cme-trading-floors-impairing-investigation2024-04-05T18:42Znever https://www.findknowdo.com/news/11/19/2019/house-financial-services-committee-considers-new-requirements-private-equity-funds2022-06-18T20:19Znever https://www.findknowdo.com/news/11/19/2019/doj-charges-swedish-citizen-securities-fraud-and-money-laundering2024-04-03T19:49Znever https://www.findknowdo.com/news/11/20/2019/federal-register-frb-proposes-extending-compliance-dates-single-counterparty-credit-limits2024-04-12T21:11Znever https://www.findknowdo.com/news/11/20/2019/cftc-chair-heath-tarbert-calls-principles-based-approach-fintech2024-04-06T17:29Znever https://www.findknowdo.com/news/11/20/2019/banking-agencies-implement-updated-calculation-derivative-contract-exposure-amounts2024-04-12T21:32Znever https://www.findknowdo.com/news/11/20/2019/banking-agencies-adopt-amendments-supplementary-leverage-ratio-relief2024-04-12T21:32Znever https://www.findknowdo.com/news/11/20/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:31Znever https://www.findknowdo.com/news/11/20/2019/bank-regulators-approve-revised-definition-high-volatility-commercial-real-estate-exposures2024-04-12T21:32Znever https://www.findknowdo.com/news/11/26/2019/its-most-wonderful-thyme-year2024-02-04T04:10Znever https://www.findknowdo.com/news/11/20/2019/bbt/suntrust-merger-approved-frb-and-fdic2024-04-12T21:11Znever https://www.findknowdo.com/news/11/21/2019/broker-dealer-settles-finra-charges-supervisory-failures-higher-risk-mutual-fund-sales2024-04-12T12:31Znever https://www.findknowdo.com/news/11/21/2019/house-financial-services-committee-considers-testimony-big-data-bills2022-06-18T20:19Znever https://www.findknowdo.com/news/11/21/2019/cfpb-seeks-feedback-planned-assessment-trid-integrated-disclosure-rule2024-04-12T17:07Znever https://www.findknowdo.com/news/11/21/2019/cftc-commissioner-dawn-stump-offers-recommendations-streamline-data-collection2024-04-06T17:29Znever https://www.findknowdo.com/news/11/21/2019/ofac-updates-venezuela-sanctions-regulations-reflect-recent-presidential-actions2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/22/2019/former-portfolio-manager-settles-sec-charges-insider-trading2022-06-18T20:19Znever https://www.findknowdo.com/news/11/22/2019/fcm-settles-cftc-charges-supervisory-failures-futures-and-block-trading-brokerage-business2024-04-06T17:29Znever https://www.findknowdo.com/news/11/22/2019/broker-dealer-settles-finra-charges-oats-reporting-and-supervisory-failures2024-04-12T12:31Znever https://www.findknowdo.com/news/11/22/2019/nymex-cbot-and-cme-sanction-firms-and-individuals-trading-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/11/22/2019/cfpb-director-highlights-agency-policy-initiatives2024-04-12T17:07Znever https://www.findknowdo.com/news/11/25/2019/nfa-requests-board-nominations2024-04-05T19:34Znever https://www.findknowdo.com/news/11/25/2019/finra-reminds-market-participants-upcoming-changes-published-otc-equity-trading-volume-data2024-04-12T12:31Znever https://www.findknowdo.com/news/11/25/2019/fincen-reorganizes-strategic-operations2024-04-02T18:51Znever https://www.findknowdo.com/news/11/25/2019/nfa-names-otc-derivatives-vice-president2024-04-05T19:34Znever https://www.findknowdo.com/news/11/25/2019/cftc-approves-final-amendments-simplify-cpo-and-cta-regulatory-obligations2024-04-06T17:29Znever https://www.findknowdo.com/news/11/25/2019/sec-proposes-amendments-investment-companies-use-derivatives2022-06-18T20:19Znever https://www.findknowdo.com/news/11/26/2019/occ-reduces-fee-schedule-rates-2020-calendar-year2024-04-12T21:32Znever https://www.findknowdo.com/news/11/26/2019/apple-settles-alleged-violations-foreign-narcotics-sanctions-regulations2026-06-20T14:16Zmonthly https://www.findknowdo.com/news/11/26/2019/cftc-division-reports-annual-enforcement-metrics2024-04-06T17:29Znever https://www.findknowdo.com/news/11/26/2019/swap-dealer-penalized-technology-malfunctions2024-04-06T17:29Znever https://www.findknowdo.com/news/11/26/2019/nfa-highlights-fy19-initiatives-and-enforcement-activities2024-04-05T19:34Znever https://www.findknowdo.com/news/11/26/2019/sec-commissioners-weigh-proposed-amendments-affecting-leveraged-etfs2022-06-18T20:19Znever https://www.findknowdo.com/news/11/27/2019/federal-register-msrb-proposes-enhancements-emma-website2024-04-12T00:18Znever https://www.findknowdo.com/news/11/27/2019/sec-staff-provides-guidance-requirements-substituted-compliance-applications2023-04-25T22:31Znever https://www.findknowdo.com/news/11/27/2019/sec-charges-biotech-company-and-executives-misstating-revenue2022-12-03T00:35Znever https://www.findknowdo.com/news/11/27/2019/investment-adviser-settles-fraud-charges2022-06-18T20:01Znever https://www.findknowdo.com/news/11/27/2019/ofac-issues-new-and-updated-faqs-iranian-sanctions2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/12/02/2019/fsb-updates-list-g-sibs-20192022-06-18T20:19Znever https://www.findknowdo.com/news/12/02/2019/bis-proposes-limited-adjustments-revised-basel-iii-cva-framework2024-02-05T17:30Znever https://www.findknowdo.com/news/12/02/2019/cbot-and-cme-impose-sanctions-trading-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/12/02/2019/general-securities-representative-settles-finra-charges-exercising-unauthorized-discretion2024-04-12T12:31Znever https://www.findknowdo.com/news/12/02/2019/cftc-creates-ccp-risk-and-market-structure-subcommittees2024-04-06T17:29Znever https://www.findknowdo.com/news/12/02/2019/lawyers-review-sec-proposed-amendments-investment-adviser-advertising-and-solicitation-rules2024-09-27T22:24Zyearly https://www.findknowdo.com/news/12/02/2019/sec-names-division-enforcement-cyber-unit-chief2022-07-02T22:30Znever https://www.findknowdo.com/news/12/03/2019/doj-charges-u.s.-citizen-sanctions-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/12/03/2019/municipal-securities-dealer-settles-finra-charges-providing-inaccurate-information-issue-price-certificates2024-04-12T12:31Znever https://www.findknowdo.com/news/12/03/2019/nfa-reminds-cpo/cta-exempt-entities-submit-annual-affirmations2024-04-05T19:34Znever https://www.findknowdo.com/news/12/04/2019/agencies-clarify-sar-obligations-hemp-transactions2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/12/03/2019/sec-charges-entity-and-associated-individuals-misleading-senior-investors2022-06-18T20:19Znever https://www.findknowdo.com/news/12/03/2019/federal-agencies-highlight-benefits-using-alternative-data-credit-underwriting2024-04-12T21:32Znever https://www.findknowdo.com/news/12/03/2019/cfpb-proposes-extending-remittance-transfers-exemption2024-04-12T17:07Znever https://www.findknowdo.com/news/12/03/2019/nfa-proposes-reducing-forex-dealer-member-assessment-fees2024-04-05T19:34Znever https://www.findknowdo.com/news/12/04/2019/federal-register-sec-proposes-changes-shareholder-proposal-rule2022-06-18T20:01Znever https://www.findknowdo.com/news/12/04/2019/federal-register-sec-proposes-enhance-accuracy-and-transparency-proxy-voting-advice2022-06-18T20:01Znever https://www.findknowdo.com/news/12/04/2019/cftc-chair-heath-tarbert-sets-strategic-priorities-20192024-04-06T17:29Znever https://www.findknowdo.com/news/12/04/2019/broker-dealer-settles-finra-charges-supervisory-failures-sale-etps2024-04-12T12:31Znever https://www.findknowdo.com/news/12/04/2019/doj-charges-russian-and-italian-nationals-evading-trade-sanctions2024-04-03T19:49Znever https://www.findknowdo.com/news/12/04/2019/nydfs-approves-software-companys-virtual-currency-and-money-transmitter-application2024-02-03T23:12Znever https://www.findknowdo.com/news/12/04/2019/cftc-adopts-amendments-cpo-and-cta-registration-and-reporting-requirements2024-04-06T17:29Znever https://www.findknowdo.com/news/12/04/2019/assistant-attorney-general-highlights-doj-prosecutorial-achievements2024-04-03T19:49Znever https://www.findknowdo.com/news/12/04/2019/sec-division-investment-management-director-requests-input-developments-funds-regulation2022-07-02T22:30Znever https://www.findknowdo.com/news/12/05/2019/house-financial-services-committee-considers-bank-regulator-concerns-and-proposed-legislation2022-06-18T20:01Znever https://www.findknowdo.com/news/12/05/2019/house-financial-services-committee-considers-testimony-fsoc-annual-report2022-07-27T18:55Znever https://www.findknowdo.com/news/12/05/2019/broker-dealer-and-representative-settle-finra-charges-supervisory-failures2024-04-12T12:31Znever https://www.findknowdo.com/news/12/05/2019/broker-dealer-settles-finra-charges-otc-quotation-display-locking-and-crossing-violations2024-04-12T12:31Znever https://www.findknowdo.com/news/12/05/2019/cftc-provides-guidance-annual-compliance-report-requirements2024-04-06T17:29Znever https://www.findknowdo.com/news/12/05/2019/cftc-adds-foreign-entities-red-list2024-04-06T17:29Znever https://www.findknowdo.com/news/12/05/2019/finra-selects-amazon-cloud-provider-cat2024-04-12T12:31Znever https://www.findknowdo.com/news/12/06/2019/nfa-proposes-amendments-apply-certain-customer-information-and-risk-disclosure-requirements-cleared-swaps2024-04-05T19:34Znever https://www.findknowdo.com/news/12/06/2019/federal-register-cfpb-proposes-extending-remittance-transfers-exemption2024-04-12T17:07Znever https://www.findknowdo.com/news/12/06/2019/sec-commissioner-elad-roisman-describes-initiatives-combat-elder-fraud2022-06-18T20:19Znever https://www.findknowdo.com/news/12/06/2019/house-committee-financial-services-considers-proposed-fha-legislation2022-10-28T12:40Znever https://www.findknowdo.com/news/12/06/2019/european-regulators-revise-amendments-emir-margin-rts2022-12-03T16:44Znever https://www.findknowdo.com/news/12/06/2019/sec-and-doj-charge-executives-trucking-company-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/12/06/2019/brand-management-company-cfo-and-coo-settle-sec-charges-creating-fictitious-revenue2024-04-03T19:49Znever https://www.findknowdo.com/news/12/06/2019/house-committee-financial-services-names-chair-subcommittee-investor-protection-entrepreneurship-and-capital-markets2022-06-18T20:19Znever https://www.findknowdo.com/news/12/06/2019/sec-highlights-recommendations-forum-small-business-capital-formation2023-04-25T20:06Znever https://www.findknowdo.com/news/12/09/2019/fsoc-approves-activities-based-approach-combating-systemic-risks2023-06-13T16:22Znever https://www.findknowdo.com/news/12/09/2019/fdic-apply-cblr-framework-deposit-insurance-assessment-system2024-04-12T18:01Znever https://www.findknowdo.com/news/12/09/2019/cftc-grants-relief-concerning-application-minimum-transfer-amounts-under-uncleared-margin-rules2024-04-06T17:29Znever https://www.findknowdo.com/news/12/09/2019/house-financial-services-committee-examines-ai-implications-financial-services-industry2022-06-18T20:19Znever https://www.findknowdo.com/news/12/09/2019/house-passes-insider-trading-prohibition-act2022-06-18T20:01Znever https://www.findknowdo.com/news/12/09/2019/finra-proposes-changes-schedule-securities-transaction-credits-finra/nasdaq-trfs2024-04-12T12:31Znever https://www.findknowdo.com/news/12/10/2019/broker-dealer-settles-finra-charges-trace-reporting-and-recordkeeping-violations2024-04-12T12:31Znever https://www.findknowdo.com/news/12/09/2019/sec-chief-accountant-highlights-priorities2022-12-03T00:35Znever https://www.findknowdo.com/news/12/09/2019/broker-dealer-settles-sec-charges-improperly-handling-adrs2022-06-18T20:01Znever https://www.findknowdo.com/news/12/10/2019/firm-settles-finra-charges-short-interest-reporting-violations2024-04-12T12:31Znever https://www.findknowdo.com/news/12/10/2019/federal-register-sec-proposes-amending-investment-adviser-solicitation-and-advertising-rules2024-09-27T22:21Zyearly https://www.findknowdo.com/news/12/10/2019/ofac-authorizes-wind-down-activities-under-global-magnitsky-general-license2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/12/10/2019/federal-register-cftc-adopts-amendments-cpo-and-cta-registration-and-reporting-requirements2024-04-06T17:29Znever https://www.findknowdo.com/news/12/10/2019/cftc-chair-heath-tarbert-compares-benefits-principles-and-rules-based-regulatory-approaches2024-04-06T17:29Znever https://www.findknowdo.com/news/12/10/2019/former-new-york-congressman-settles-insider-trading-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/12/10/2019/sec-chair-jay-clayton-updates-senate-banking-committee-fy-2019-initiatives2022-06-18T20:19Znever https://www.findknowdo.com/news/12/11/2019/frb-extends-comment-deadline-proposed-capital-requirements-certain-supervised-insurance-companies2024-04-12T21:11Znever https://www.findknowdo.com/news/12/11/2019/cpmi-and-iosco-report-increasing-coordination-fmi-oversight2024-01-31T03:11Znever https://www.findknowdo.com/news/12/11/2019/ny-state-supreme-court-dismisses-claims-against-exxonmobil-involving-disclosure-climate-change-risk2022-11-14T03:44Znever https://www.findknowdo.com/news/12/12/2019/trade-groups-react-proposed-amendments-swap-margin-rules2022-06-18T20:19Znever https://www.findknowdo.com/news/12/11/2019/insurance-companies-settle-separate-ofac-charges-cuban-assets-control-violations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/12/11/2019/cftc-acts-swap-dealer-capital-rules-and-inter-affiliate-swaps-clearing2024-04-06T17:29Znever https://www.findknowdo.com/news/12/11/2019/broker-dealer-settles-finra-charges-violating-phone-recording-regulations2024-04-12T12:31Znever https://www.findknowdo.com/news/12/11/2019/fdic-chair-jelena-mcwilliams-urges-congress-modernize-brokered-deposits-regime2024-04-12T18:01Znever https://www.findknowdo.com/news/12/12/2019/nydfs-proposes-guidance-recognition-virtual-currencies2024-02-03T23:12Znever https://www.findknowdo.com/news/12/12/2019/ofac-issues-two-new-faqs-recently-announced-sanctions-iran2026-06-20T13:33Zmonthly https://www.findknowdo.com/news/12/12/2019/cfpb-director-highlights-initiatives-coordinate-consumer-protection-efforts-state-agencies2024-04-12T17:07Znever https://www.findknowdo.com/news/12/12/2019/cftc-commissioners-highlight-additional-efforts-libor-transition2024-04-06T17:29Znever https://www.findknowdo.com/news/12/12/2019/ofr-reports-congress-current-risks-u.s.-financial-stability2022-07-27T19:43Znever https://www.findknowdo.com/news/12/12/2019/nymex-and-comex-impose-sanctions-trade-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/12/13/2019/ofac-finds-texas-company-violated-global-terrorism-sanctions-regulations2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/12/13/2019/sec-grants-exemptive-relief-five-actively-managed-etfs-tender-offer-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/12/13/2019/iosco-finalizes-framework-evaluate-leverage-investment-funds2022-06-18T20:01Znever https://www.findknowdo.com/news/12/13/2019/occ-and-fdic-propose-amendments-regulations-implementing-community-reinvestment-act2024-04-12T21:32Znever https://www.findknowdo.com/news/12/13/2019/fdic-proposes-revisions-brokered-deposit-regime2024-04-12T18:01Znever https://www.findknowdo.com/news/12/13/2019/sec-commissioner-hester-peirce-questions-current-data-collection-practices2022-06-18T20:01Znever https://www.findknowdo.com/news/12/13/2019/individuals-settle-sec-charges-insider-trading2022-06-18T20:01Znever https://www.findknowdo.com/news/12/16/2019/comex-and-nymex-sanction-firm-and-traders-block-trade-and-spoofing-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/12/16/2019/irs-finalizes-rule-financial-products-referencing-u.s.-source-dividend-payments2024-04-04T18:51Znever https://www.findknowdo.com/news/12/16/2019/former-senior-executive-settles-sec-charges-perpetrating-massive-corruption-scheme2022-06-18T20:19Znever https://www.findknowdo.com/news/12/16/2019/federal-register-sec-adopts-recordkeeping-and-reporting-requirements-security-based-swaps-dealers2022-06-18T20:01Znever https://www.findknowdo.com/news/12/16/2019/fincen-seeks-nominations-bank-secrecy-act-advisory-group2024-04-02T18:51Znever https://www.findknowdo.com/news/12/17/2019/federal-register-cftc-amends-rulemaking-procedures2024-04-06T17:29Znever https://www.findknowdo.com/news/12/17/2019/effective-date-set-nfa-amendments-interpretive-notice-break-even-analysis2024-04-05T19:34Znever https://www.findknowdo.com/news/12/18/2019/massachusetts-securities-division-proposes-fiduciary-conduct-standard2023-05-23T00:07Znever https://www.findknowdo.com/news/12/17/2019/iosco-proposes-guidance-conflicts-interest-debt-capital-market-transactions2022-06-18T20:19Znever https://www.findknowdo.com/news/12/17/2019/aicpa-working-group-provides-practice-tips-accounting-digital-assets2022-12-03T00:35Znever https://www.findknowdo.com/news/12/17/2019/finra-sanctions-broker-dealer-manipulative-trading-scheme2024-04-12T12:31Znever https://www.findknowdo.com/news/12/17/2019/fdic-chief-information-officer-resigns2024-04-12T18:01Znever https://www.findknowdo.com/news/12/17/2019/doj-charges-indonesians-conspiracy-and-violations-trade-sanctions2024-04-03T19:49Znever https://www.findknowdo.com/news/12/17/2019/irs-extends-phase-period-dividend-equivalent-rules2024-04-04T18:51Znever https://www.findknowdo.com/news/12/17/2019/nera-economic-consulting-analyzes-allegations-manufactured-defaults2024-04-04T19:10Znever https://www.findknowdo.com/news/12/23/2019/holiday-playlist-20192024-02-04T04:10Znever https://www.findknowdo.com/news/12/30/2019/new-years-eve-20192024-02-04T04:10Znever https://www.findknowdo.com/news/12/18/2019/cftc-staff-provides-libor-transition-no-action-relief2024-04-06T17:29Znever https://www.findknowdo.com/news/12/18/2019/sec-charges-it-administrator-insider-trading2022-06-18T20:19Znever https://www.findknowdo.com/news/12/18/2019/broker-dealer-settles-finra-charges-securities-transactions-during-restricted-period2024-04-12T12:31Znever https://www.findknowdo.com/news/12/27/2019/us-regulatory-intelligence-premium-offers-new-topic-pages-fintech2024-09-23T17:34Zyearly https://www.findknowdo.com/news/12/18/2019/federal-reserve-board-hold-fintech-innovation-office-hours2024-04-12T21:11Znever https://www.findknowdo.com/news/01/02/2020/your-best-interest-cabinet-tools-available-support-regulatory-compliance2024-02-04T04:10Znever https://www.findknowdo.com/news/12/18/2019/fdic-and-frb-assess-resolution-plans-eight-largest-domestic-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/12/18/2019/doj-deputy-assistant-attorney-general-highlights-self-disclosure-under-new-export-controls-and-sanctions-enforcement-policy2024-04-03T19:49Znever https://www.findknowdo.com/news/12/18/2019/ofac-amends-global-magnitsky-general-license-unblock-certain-latvian-entities2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/12/19/2019/sec-adopts-risk-mitigation-techniques-uncleared-security-based-swaps2022-11-19T16:30Znever https://www.findknowdo.com/news/12/18/2019/sec-approves-pcaob-2020-budget2022-12-03T02:18Znever https://www.findknowdo.com/news/12/18/2019/sec-proposes-rule-amendments-designed-expand-access-private-capital-markets2022-06-18T20:01Znever https://www.findknowdo.com/news/12/19/2019/sec-finalizes-cross-border-swap-rule-amendments-establishes-registration-timeline2022-06-18T20:19Znever https://www.findknowdo.com/news/12/18/2019/sec-proposes-resource-extraction-disclosure-rules2022-06-18T20:01Znever https://www.findknowdo.com/news/12/18/2019/cftc-addresses-cross-border-matters-post-trade-name-give-and-dco-requirements2024-04-06T17:29Znever https://www.findknowdo.com/news/12/19/2019/occ-makes-technical-correction-community-bank-leverage-ratio2024-04-12T21:32Znever https://www.findknowdo.com/news/12/19/2019/federal-register-finra-proposes-changes-schedule-securities-transaction-credits-finra/nasdaq-trfs2024-04-12T12:31Znever https://www.findknowdo.com/news/12/19/2019/nfa-notifies-members-effective-date-compliance-rules-cta-reporting2024-04-05T19:34Znever https://www.findknowdo.com/news/12/19/2019/ftc-approves-final-settlement-agreements-concerning-collection-facebook-data2024-04-03T20:13Znever https://www.findknowdo.com/news/12/19/2019/international-trade-associations-simplify-reporting-eu-regulatory-regimes2022-11-21T13:12Znever https://www.findknowdo.com/news/12/19/2019/frb-governor-lael-brainard-highlights-challenges-posed-global-stablecoin-networks2024-04-12T21:11Znever https://www.findknowdo.com/news/12/19/2019/isda-launches-supplemental-consultation-benchmark-fallbacks-euribor-and-eur-libor2022-06-18T20:19Znever https://www.findknowdo.com/news/12/19/2019/two-broker-dealers-settle-sec-charges-short-tender-rule-violations2022-06-18T20:19Znever https://www.findknowdo.com/news/12/19/2019/federal-register-fincen-seeks-nominations-bank-secrecy-act-advisory-group2024-04-02T18:51Znever https://www.findknowdo.com/news/12/19/2019/insurance-company-settles-sec-charges-internal-account-control-failures2024-01-30T18:16Znever https://www.findknowdo.com/news/12/19/2019/isda-examines-treatment-derivatives-under-economic-sanctions-programs2022-06-18T20:19Znever https://www.findknowdo.com/news/12/19/2019/federal-register-cftc-extends-comment-period-swap-dealer-capital-rules2024-04-06T17:24Znever https://www.findknowdo.com/news/12/19/2019/broker-dealer-settles-finra-charges-supervisory-failures-over-best-execution2024-04-12T12:31Znever https://www.findknowdo.com/news/12/20/2019/office-investor-advocate-recommends-sec-disapprove-proposed-trading-speed-bump2022-06-18T20:19Znever https://www.findknowdo.com/news/12/20/2019/sec-approves-finra-amendments-provide-additional-exemptions-ipo-new-issue-rules2024-04-12T12:31Znever https://www.findknowdo.com/news/12/20/2019/broker-dealer-fined-failing-update-employee-registration-forms2024-04-12T12:31Znever https://www.findknowdo.com/news/12/20/2019/cftc-staff-grants-im-calculation-relief-limited-purpose-swap-dealer2024-04-06T17:24Znever https://www.findknowdo.com/news/12/23/2019/blockchain-company-settles-sec-charges-conducting-unregistered-token-offering2022-06-18T20:01Znever https://www.findknowdo.com/news/12/20/2019/finra-affirms-findings-short-sales-and-aml-compliance-violations2024-04-12T12:31Znever https://www.findknowdo.com/news/12/20/2019/sec-names-new-leadership-financial-accounting-standards-board-and-financial-accounting-foundation2022-12-03T00:35Znever https://www.findknowdo.com/news/12/20/2019/ofac-extends-certain-authorizations-under-iran-related-sanctions2024-03-06T23:31Znever https://www.findknowdo.com/news/12/20/2019/sec-office-advocates-small-business-capital-formation2023-04-25T20:05Znever https://www.findknowdo.com/news/12/20/2019/sec-names-chief-information-officer2022-06-18T20:19Znever https://www.findknowdo.com/news/12/23/2019/cftc-charges-banker-manipulating-swap-price2024-04-06T17:24Znever https://www.findknowdo.com/news/12/23/2019/nasaa-warns-threats-investors-20202024-02-03T22:51Znever https://www.findknowdo.com/news/12/23/2019/ofac-issues-new-faq-relating-sanctions-against-russia2024-03-06T23:31Znever https://www.findknowdo.com/news/12/23/2019/nydfs-orders-financial-institutions-submit-libor-transition-preparedness-plans2024-02-03T23:12Znever https://www.findknowdo.com/news/12/23/2019/finra-recaps-monthly-disciplinary-actions2024-04-12T12:31Znever https://www.findknowdo.com/news/12/24/2019/trade-associations-urge-changes-cftc-swap-margin-rules2024-04-06T17:24Znever https://www.findknowdo.com/news/12/23/2019/sec-investor-advocate-highlights-areas-concern2024-01-29T13:30Znever https://www.findknowdo.com/news/12/24/2019/federal-register-cftc-acts-inter-affiliate-swaps-clearing2024-04-06T17:24Znever https://www.findknowdo.com/news/12/24/2019/sec-provides-disclosure-guidance-intellectual-property-and-technology-risks2022-06-18T20:01Znever https://www.findknowdo.com/news/12/24/2019/cme-and-cbot-impose-sanctions-trading-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/12/26/2019/federal-register-frb-corrects-instructional-errors-final-rule-community-bank-leverage-ratio2024-04-12T21:11Znever https://www.findknowdo.com/news/12/26/2019/five-firms-settle-finra-charges-failing-supervise-certain-custodial-accounts2024-04-12T12:31Znever https://www.findknowdo.com/news/12/26/2019/broker-dealer-settles-charges-failing-supervise-dma-clients2024-04-12T12:31Znever https://www.findknowdo.com/news/12/26/2019/new-york-attorney-general-highlights-consumer-protection-and-financial-actions-year-end-report2023-06-10T16:14Znever https://www.findknowdo.com/news/12/27/2019/uk-chancellor-exchequer-appoints-new-governor-bank-england2022-12-03T16:45Znever https://www.findknowdo.com/news/12/27/2019/representatives-introduce-bills-enhance-fcra-consumer-protections2022-06-18T20:01Znever https://www.findknowdo.com/news/01/02/2020/federal-banking-agencies-provide-no-action-relief-certain-regulations-loans-insiders2024-04-12T21:32Znever https://www.findknowdo.com/news/12/30/2019/federal-register-prudential-regulators-reopen-comment-deadline-proposal-swap-margin-rules2024-04-12T21:32Znever https://www.findknowdo.com/news/12/30/2019/broker-dealer-settles-charges-supervisory-failures-rollovers-uits2024-04-12T12:31Znever https://www.findknowdo.com/news/12/30/2019/broker-dealer-settles-massachusetts-charges-unsuitable-sales-non-traded-reits2022-11-13T22:00Znever https://www.findknowdo.com/news/12/30/2019/sec-leaders-consider-role-and-responsibilities-audit-committees2022-06-18T20:01Znever https://www.findknowdo.com/news/12/30/2019/sec-proposes-updating-auditor-independence-framework2022-12-03T00:35Znever https://www.findknowdo.com/news/12/31/2019/federal-register-occ-makes-correction-new-regulatory-framework-oreo-activities2024-04-12T21:32Znever https://www.findknowdo.com/news/12/31/2019/federal-register-fsoc-approves-activities-based-approach-combating-systemic-risks2022-07-27T18:55Znever https://www.findknowdo.com/news/12/31/2019/finra-amends-corporate-financing-rule-proposal2024-04-12T12:31Znever https://www.findknowdo.com/news/12/31/2019/federal-register-cftc-proposes-prohibiting-certain-post-trade-name-give-practices2024-04-06T17:24Znever https://www.findknowdo.com/news/12/31/2019/firm-settles-finra-charges-inaccurately-coding-options-orders2024-04-12T12:31Znever https://www.findknowdo.com/news/12/31/2019/fdic-and-federal-reserve-board-extend-request-feedback-camels-rating-system2024-04-12T21:11Znever https://www.findknowdo.com/news/12/31/2019/fdic-rescinds-four-outdated-policy-statements2024-04-12T18:01Znever https://www.findknowdo.com/news/12/31/2019/banking-agencies-make-annual-adjustments-cra-asset-size-thresholds-20202024-04-12T21:11Znever https://www.findknowdo.com/news/01/02/2020/finra-provides-clarification-2020-member-firm-renewals2024-04-12T12:31Znever https://www.findknowdo.com/news/01/02/2020/broker-dealer-settles-finra-charges-unsuitable-short-term-trading2024-04-12T12:31Znever https://www.findknowdo.com/news/01/02/2020/individual-settles-sec-charges-insider-trading2022-06-18T20:01Znever https://www.findknowdo.com/news/01/02/2020/sec-charges-broker-dealer-former-owner-misleading-statements-net-capital2022-06-18T20:01Znever https://www.findknowdo.com/news/01/02/2020/treasury-exempts-subsidiaries-financial-services-company-qfc-recordkeeping-requirements2024-04-02T19:42Znever https://www.findknowdo.com/news/01/03/2020/u.s.-district-court-vacates-ukraine-related-sanctions-penalty-against-exxonmobil2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/01/03/2020/broker-dealer-agrees-settle-finra-charges-oats-reporting-and-supervisory-failures2024-04-12T12:31Znever https://www.findknowdo.com/news/01/03/2020/sec-charges-individuals-and-companies-two-fraudulent-microcap-schemes2024-04-03T19:49Znever https://www.findknowdo.com/news/01/03/2020/fintech-company-and-ceo-settle-sec-charges-illegal-stock-sales2022-06-18T20:01Znever https://www.findknowdo.com/news/01/03/2020/cftc-staff-urge-ccos-take-reasonable-measures-adapt-recent-guidance-2019-annual-reports2024-04-06T17:24Znever https://www.findknowdo.com/news/01/06/2020/nydfs-urges-financial-institutions-prepare-iranian-sponsored-cyberattacks2022-11-14T03:45Znever https://www.findknowdo.com/news/01/06/2020/broker-dealer-settles-finra-charges-msrb-transaction-violations2024-04-12T00:18Znever https://www.findknowdo.com/news/01/06/2020/isda-provides-guidance-cross-border-application-margin-rules-non-cleared-derivatives2022-06-18T20:01Znever https://www.findknowdo.com/news/01/06/2020/broker-dealer-settles-finra-charges-best-execution-and-markup-violations-municipal-securities2024-04-12T12:31Znever https://www.findknowdo.com/news/01/07/2020/sifma-ceo-urges-massachusetts-securities-division-defer-sec-reg.-bi2023-05-23T00:07Znever https://www.findknowdo.com/news/01/07/2020/msrb-reminds-dealers-electronic-communications-obligations2024-04-12T00:18Znever https://www.findknowdo.com/news/01/07/2020/ofac-updates-general-license-wind-down-activities-venezuela-based-entities2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/01/07/2020/sec-ocie-identifies-2020-priorities-investor-protection-examinations2024-01-31T02:33Znever https://www.findknowdo.com/news/01/08/2020/firm-settles-finra-charges-written-methodology-failures-pending-orders2024-04-12T12:31Znever https://www.findknowdo.com/news/01/08/2020/federal-register-cftc-proposes-new-cross-border-rules-regarding-swap-dealers-and-major-swap-participants2024-04-06T17:24Znever https://www.findknowdo.com/news/01/08/2020/nfa-launch-swaps-proficiency-requirements-webpage2024-04-05T19:34Znever https://www.findknowdo.com/news/01/08/2020/frb-governor-lael-brainard-considers-metrics-strengthening-cra-oversight2024-04-12T21:11Znever https://www.findknowdo.com/news/01/08/2020/sec-proposes-amendments-governance-market-data-plans2022-06-18T20:19Znever https://www.findknowdo.com/news/01/09/2020/federal-register-occ-and-fdic-propose-amendments-community-reinvestment-act2024-04-12T21:32Znever https://www.findknowdo.com/news/01/09/2020/cftc-dmo-grants-supplemental-relief-correcting-swap-error-trades2024-04-06T17:24Znever https://www.findknowdo.com/news/01/09/2020/representatives-introduce-bill-require-esg-disclosure-issuers2022-06-18T20:19Znever https://www.findknowdo.com/news/01/10/2020/finra-identifies-2020-risk-monitoring-and-examination-priorities2024-04-12T12:31Znever https://www.findknowdo.com/news/01/09/2020/finra-commences-retrospective-review-reporting-requirement-rule2024-04-12T12:31Znever https://www.findknowdo.com/news/01/10/2020/msrb-outlines-2019-regulatory-and-strategic-initiatives2024-04-12T00:18Znever https://www.findknowdo.com/news/01/10/2020/cftc-names-chair-and-members-new-subcommittee-margin-requirements-non-cleared-swaps2024-04-06T17:24Znever https://www.findknowdo.com/news/01/10/2020/sec-division-allows-certain-treatment-investment-funds-under-custody-protection-rule2022-06-18T20:19Znever https://www.findknowdo.com/news/01/10/2020/president-trump-signs-executive-order-imposing-additional-sanctions-iran2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/01/10/2020/nydfs-superintendent-appoints-members-new-consumer-protection-task-force2022-11-14T03:45Znever https://www.findknowdo.com/news/01/13/2020/treasury-adopts-regulations-clarifying-opportunity-zone-tax-incentive2024-04-04T18:51Znever https://www.findknowdo.com/news/01/13/2020/finra-proposes-extending-expiration-date-application-rules-security-based-swaps2024-04-12T12:31Znever https://www.findknowdo.com/news/01/13/2020/ftc-and-doj-propose-2020-vertical-merger-guidelines2024-04-03T20:09Znever https://www.findknowdo.com/news/01/13/2020/u.s.-district-court-enters-judgment-against-former-ceo-insider-trading2022-06-18T20:19Znever https://www.findknowdo.com/news/01/13/2020/south-korean-banking-firm-settles-cftc-charges-spoofing2024-04-06T17:24Znever https://www.findknowdo.com/news/01/14/2020/frb-provides-faqs-applying-prudential-standards-large-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/01/14/2020/sec-cautions-investors-risks-initial-exchange-offerings2022-07-02T22:30Znever https://www.findknowdo.com/news/01/14/2020/firm-settles-finra-charges-providing-inaccurate-information-retirement-plans2024-04-12T12:30Znever https://www.findknowdo.com/news/01/14/2020/finra-leaves-payments-market-making-rule-unchanged2024-04-12T12:30Znever https://www.findknowdo.com/news/01/14/2020/reg.-tracker-january-16-january-312022-06-18T20:01Znever https://www.findknowdo.com/news/01/15/2020/federal-register-sec-proposes-updating-auditor-independence-framework2022-12-03T00:35Znever https://www.findknowdo.com/news/01/15/2020/federal-register-sec-proposes-resource-extraction-disclosure-rules2022-06-18T20:19Znever https://www.findknowdo.com/news/01/15/2020/new-york-fed-assesses-potential-impact-cyberattacks-payment-systems2024-04-12T21:11Znever https://www.findknowdo.com/news/01/15/2020/house-passes-bill-require-bank-regulators-report-cybersecurity2022-06-18T20:19Znever https://www.findknowdo.com/news/01/15/2020/house-financial-services-committee-asks-information-diversity-sec-advisory-committees2022-06-18T20:19Znever https://www.findknowdo.com/news/01/16/2020/nfa-provides-2020-guidance-affirmation-obligations-cpo/cta-exempt-entities2024-04-05T19:34Znever https://www.findknowdo.com/news/01/16/2020/ofac-warns-firms-wind-down-certain-transactions-iran2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/01/16/2020/uk-financial-regulators-demand-documented-progress-transition-libor2024-01-30T18:16Znever https://www.findknowdo.com/news/01/16/2020/fdic-names-new-chief-information-officer2024-04-12T18:01Znever https://www.findknowdo.com/news/01/16/2020/attorney-describes-recent-sec-treatment-concentrated-debits-under-customer-protection-rule2022-06-18T20:19Znever https://www.findknowdo.com/news/01/17/2020/federal-register-sec-proposes-rule-amendments-designed-expand-access-private-capital-markets2022-06-18T20:01Znever https://www.findknowdo.com/news/01/17/2020/finra-recaps-disciplinary-actions-january-2020-report2024-04-12T12:30Znever https://www.findknowdo.com/news/01/17/2020/fdic-and-occ-remind-banks-importance-cybersecurity2024-04-12T21:32Znever https://www.findknowdo.com/news/01/17/2020/sec-commissioner-robert-j.-jackson-jr.-step-down-agency2022-06-18T20:19Znever https://www.findknowdo.com/news/01/17/2020/broker-dealer-disciplined-lax-oversight-payments-customer-accounts2024-04-12T12:30Znever https://www.findknowdo.com/news/01/17/2020/broker-dealer-settles-finra-charges-misreporting-short-positions-equity-securities2024-04-12T12:30Znever https://www.findknowdo.com/news/01/17/2020/finra-names-new-executive-vice-president-and-head-enforcement2024-04-12T12:30Znever https://www.findknowdo.com/news/01/17/2020/finra-proposes-allowing-firms-clear-certain-debt-transactions-internally2024-04-12T12:30Znever https://www.findknowdo.com/news/01/21/2020/frb-vice-chair-quarles-recommends-bank-supervision-improvements2024-04-12T21:11Znever https://www.findknowdo.com/news/01/21/2020/lobbying-firm-settles-claim-violations-global-terrorism-sanctions-regulations2024-03-06T23:31Znever https://www.findknowdo.com/news/01/21/2020/ftc-revises-thresholds-interlocking-directorates2024-04-03T20:09Znever https://www.findknowdo.com/news/01/21/2020/ofac-extends-expiration-date-venezuela-general-licenses2024-03-06T23:31Znever https://www.findknowdo.com/news/01/22/2020/proprietary-trading-firm-settles-doj-and-cftc-spoofing-charges2024-04-06T17:24Znever https://www.findknowdo.com/news/01/22/2020/arrc-launches-consultation-spread-adjustment-methodologies-fallbacks-cash-products-referencing-usd-libor2022-12-03T00:52Znever https://www.findknowdo.com/news/01/22/2020/sec-approves-bats-bzx-exchange-proposal-introduce-cboe-market-close-moc-orders2024-04-10T20:51Znever https://www.findknowdo.com/news/01/22/2020/sec-files-complaint-fraudulent-ico-offering2022-07-02T22:30Znever https://www.findknowdo.com/news/01/23/2020/sec-highlights-importance-investor-protections-asset-management-regulation2023-06-04T12:49Znever https://www.findknowdo.com/news/01/30/2020/reg.-tracker-february-1-february-152022-06-18T20:01Znever https://www.findknowdo.com/news/01/24/2020/sec-orders-first-whistleblowers-awards-20202024-01-30T02:46Znever https://www.findknowdo.com/news/01/23/2020/treasury-finalizes-cfius-regulations-expanding-review-foreign-investment-transactions2024-04-02T19:42Znever https://www.findknowdo.com/news/01/23/2020/finra-urges-firms-take-precautions-against-iranian-sponsored-cyberattacks2024-04-12T12:30Znever https://www.findknowdo.com/news/01/24/2020/federal-register-sec-proposes-amendments-investment-companies-use-derivatives2022-06-18T20:01Znever https://www.findknowdo.com/news/01/24/2020/ecuadorian-citizen-pleads-guilty-bribery-and-money-laundering-scheme2024-04-03T19:49Znever https://www.findknowdo.com/news/01/24/2020/cboe-byx-exchange-introduces-small-retail-broker-dealer-distribution-program2024-04-10T20:51Znever https://www.findknowdo.com/news/01/24/2020/fia-petitions-cftc-clarify-margin-treatment-separate-customer-accounts2022-06-18T20:19Znever https://www.findknowdo.com/news/01/24/2020/cfpb-clarifies-dodd-frank-abusiveness-standard-supervision-and-enforcement2024-04-12T17:06Znever https://www.findknowdo.com/news/01/27/2020/federal-register-cftc-amends-dco-requirements2024-04-06T17:24Znever https://www.findknowdo.com/news/01/28/2020/sec-office-credit-ratings-highlights-annual-findings-nrsros2024-01-31T14:59Znever https://www.findknowdo.com/news/01/27/2020/u.s.-district-court-upholds-insurance-claim-following-cyberattack2024-01-30T18:16Znever https://www.findknowdo.com/news/02/10/2020/new-york-state-governor-signs-bills-expanding-data-breach-notification-requirements2023-06-10T18:03Znever https://www.findknowdo.com/news/01/27/2020/facebook-ceo-mark-zuckerberg-defends-libra-financial-services-committee2022-07-02T22:30Znever https://www.findknowdo.com/news/02/10/2020/fdic-reports-risks-financial-institutions-contracting-technology-service-providers2024-04-12T18:00Znever https://www.findknowdo.com/news/02/10/2020/house-financial-services-committee-examines-ai-implications-financial-services-industry2022-06-18T20:01Znever https://www.findknowdo.com/news/02/10/2020/ninth-circuit-rules-linkedin-cannot-block-data-scraping2022-11-16T00:58Znever https://www.findknowdo.com/news/02/10/2020/sec-staff-says-tokens-be-used-video-games-are-not-securities2022-06-18T20:01Znever https://www.findknowdo.com/news/02/10/2020/sec-and-finra-address-application-broker-dealer-custody-requirements-digital-asset-securities2022-07-04T19:25Znever https://www.findknowdo.com/news/02/10/2020/sec-proposes-amendments-governance-market-data-plans2022-06-18T20:01Znever https://www.findknowdo.com/news/02/10/2020/bis-urges-regulators-address-emergence-large-technology-firms-financial-markets2024-02-05T17:30Znever https://www.findknowdo.com/news/01/27/2020/fca-and-iba-clarify-reasonable-period-publishing-non-representative-libor2023-06-10T14:39Znever https://www.findknowdo.com/news/01/27/2020/sec-introduces-updated-edgar-software2022-06-18T20:19Znever https://www.findknowdo.com/news/01/27/2020/nydfs-extends-deadline-submitting-libor-transition-preparedness-plans2024-02-03T23:12Znever https://www.findknowdo.com/news/01/28/2020/mutual-fund-executives-settle-charges-misrepresentation-face-federal-charges-fraud2024-04-06T17:24Znever https://www.findknowdo.com/news/01/27/2020/sec-ocie-provides-observations-cybersecurity-and-resiliency-best-practices2022-06-18T20:19Znever https://www.findknowdo.com/news/01/27/2020/house-representatives-urges-supreme-court-uphold-constitutionality-cfpb2022-06-18T20:19Znever https://www.findknowdo.com/news/01/28/2020/nfa-reminds-member-firms-upcoming-effective-date-swaps-proficiency-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/01/28/2020/cftc-becomes-first-federal-agency-adopt-nist-privacy-framework2024-04-06T17:24Znever https://www.findknowdo.com/news/01/28/2020/msrb-proposes-amendments-board-membership-rule2024-04-12T00:18Znever https://www.findknowdo.com/news/02/10/2020/house-financial-services-committee-considers-implications-libra2022-07-02T22:30Znever https://www.findknowdo.com/news/01/29/2020/house-financial-services-committee-considers-occ-and-fdic-cra-proposal2022-06-18T20:19Znever https://www.findknowdo.com/news/01/29/2020/shipping-company-settles-burmese-sanctions-violations-ofac2024-03-06T23:31Znever https://www.findknowdo.com/news/02/10/2020/cftc-updates-data-catalogue-pursuant-data-protection-initiative2024-04-06T17:24Znever https://www.findknowdo.com/news/01/31/2020/commenters-offer-recommendations-otc-securities-proposal2024-02-03T22:51Znever https://www.findknowdo.com/news/01/30/2020/federal-register-finra-proposes-allowing-firms-clear-certain-debt-transactions-internally2024-04-12T12:30Znever https://www.findknowdo.com/news/01/30/2020/house-financial-services-committee-considers-effects-mobile-banking2022-06-18T20:19Znever https://www.findknowdo.com/news/01/30/2020/sec-proposes-amendments-and-issues-guidance-financial-disclosure-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/01/31/2020/cftc-proposes-new-position-limits-physical-commodity-derivatives2024-04-06T17:24Znever https://www.findknowdo.com/news/02/03/2020/finra-proposes-expanding-eligibility-operate-a-cab2024-04-12T12:30Znever https://www.findknowdo.com/news/01/31/2020/sec-commissioners-issue-divergent-opinions-proposed-changes-issuer-disclosure-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/01/31/2020/aerospace-company-settles-charges-global-foreign-bribery-scheme2024-04-03T19:49Znever https://www.findknowdo.com/news/01/31/2020/frb-chair-jerome-powell-supports-frb-governor-brainards-proposed-approach-cra-oversight2024-04-12T21:11Znever https://www.findknowdo.com/news/02/03/2020/cftc-proposes-amendments-certain-trade-rules-swap-execution-facilities2024-04-06T17:24Znever https://www.findknowdo.com/news/02/03/2020/federal-reserve-governor-michelle-w.-bowman-begins-second-term2024-04-12T21:11Znever https://www.findknowdo.com/news/02/03/2020/federal-register-fdic-corrects-language-final-rule-community-bank-leverage-ratio2024-04-12T18:00Znever https://www.findknowdo.com/news/02/03/2020/federal-register-finra-proposes-extending-expiration-date-application-rules-security-based-swaps2024-04-12T12:30Znever https://www.findknowdo.com/news/02/03/2020/sec-commissioner-elad-roisman-defends-proxy-voting-proposals2022-06-18T20:19Znever https://www.findknowdo.com/news/02/03/2020/msrb-sets-date-compliance-interpretive-guidance-underwriting-activities2024-04-12T00:18Znever https://www.findknowdo.com/news/02/03/2020/nymex-and-comex-impose-sanctions-block-trade-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/02/03/2020/arrc-requests-vendors-complete-survey-libor-preparedness2022-06-18T20:19Znever https://www.findknowdo.com/news/02/03/2020/banking-regulators-find-slight-increase-risk-associated-loan-commitments2024-04-12T21:32Znever https://www.findknowdo.com/news/02/03/2020/arrc-provides-implementation-checklist-transition-libor-sofr2022-06-18T20:19Znever https://www.findknowdo.com/news/02/04/2020/ftc-and-doj-extend-comment-deadline-proposed-2020-vertical-merger-guidelines2024-04-03T20:09Znever https://www.findknowdo.com/news/02/04/2020/compliance-deadlines-set-sbsd-registration2022-06-18T20:01Znever https://www.findknowdo.com/news/02/04/2020/federal-register-sec-adopts-risk-mitigation-techniques-uncleared-security-based-swaps2022-11-19T16:30Znever https://www.findknowdo.com/news/02/04/2020/firm-settles-finra-charges-unregistered-sales-securities2024-04-12T12:30Znever https://www.findknowdo.com/news/02/05/2020/sec-wins-insider-trading-case2022-06-18T20:19Znever https://www.findknowdo.com/news/02/04/2020/corporations-settle-ftc-charges-eu-u.s.-privacy-shield-misrepresentations2024-04-03T20:09Znever https://www.findknowdo.com/news/02/04/2020/nfa-reminds-firms-compliance-date-customer-information-and-risk-disclosure-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/02/04/2020/firm-settles-finra-charges-otc-equity-securities-and-trace-violations2024-04-12T12:30Znever https://www.findknowdo.com/news/02/05/2020/sec-warns-investors-coronavirus-related-scams2022-06-18T20:19Znever https://www.findknowdo.com/news/02/05/2020/ny-state-senator-introduces-bill-prevent-use-biometric-surveillance-technology-police2023-06-10T18:03Znever https://www.findknowdo.com/news/02/05/2020/associations-provide-recommendations-sec-proxy-and-shareholder-rules2024-02-03T18:36Znever https://www.findknowdo.com/news/02/10/2020/supreme-court-set-hear-copyright-arguments-google-v.-oracle2023-04-05T20:51Znever https://www.findknowdo.com/news/02/05/2020/house-committee-considers-testimony-predatory-lending2024-02-07T20:40Znever https://www.findknowdo.com/news/02/07/2020/firm-settles-charges-oats-and-regulation-nms-reporting-deficiencies2024-04-12T12:30Znever https://www.findknowdo.com/news/02/06/2020/isda-publish-supplemental-consultation-pre-cessation-triggers2022-06-18T20:01Znever https://www.findknowdo.com/news/02/06/2020/frb-governor-lael-brainard-highlights-benefits-and-risks-evolving-digital-payment-market2026-03-04T00:30Zyearly https://www.findknowdo.com/news/02/06/2020/doj-assistant-attorney-general-urges-data-sharing-cross-border-investigations2024-04-03T19:49Znever https://www.findknowdo.com/news/02/06/2020/fincen-deputy-director-jamal-el-hindi-describes-bsa/aml-regulatory-challenges2024-04-02T18:51Znever https://www.findknowdo.com/news/02/07/2020/isda-highlights-economic-analyses-derivatives-and-risk-management2022-06-18T20:19Znever https://www.findknowdo.com/news/02/07/2020/cme-sanctions-trader-disruptive-trading-practices2024-04-05T18:42Znever https://www.findknowdo.com/news/02/07/2020/broker-dealer-settles-sec-charges-improper-handling-adrs2022-06-18T20:01Znever https://www.findknowdo.com/news/02/07/2020/frb-and-occ-provide-scenarios-bank-stress-tests2024-04-12T21:32Znever https://www.findknowdo.com/news/02/07/2020/cftc-commissioner-dawn-stump-addresses-key-regulatory-challenges2024-04-06T17:24Znever https://www.findknowdo.com/news/02/07/2020/sec-commissioner-hester-peirce-proposes-safe-harbor-digital-tokens2022-06-18T20:01Znever https://www.findknowdo.com/news/02/07/2020/preview-us-regulatory-intelligences-year-fintech2024-09-23T17:36Zyearly https://www.findknowdo.com/news/02/10/2020/finra-proposes-minimum-fees-arbitration-expungement-requests2024-04-12T12:30Znever https://www.findknowdo.com/news/02/10/2020/firm-settles-finra-charges-failure-document-supervisory-test-results2024-04-12T12:30Znever https://www.findknowdo.com/news/02/10/2020/arrc-consults-impact-ccp-discounting-sofr-transition-swaptions2022-12-03T00:52Znever https://www.findknowdo.com/news/02/10/2020/california-ag-issues-revisions-state-data-privacy-regulations2023-06-10T18:03Znever https://www.findknowdo.com/news/02/10/2020/isda-guidelines-address-challenges-development-smart-derivatives-contracts2022-06-18T20:19Znever https://www.findknowdo.com/news/02/10/2020/federal-register-fdic-proposes-revisions-brokered-deposit-regime2024-04-12T18:00Znever https://www.findknowdo.com/news/02/11/2020/fdic-provides-guidance-non-traditional-banks-deposit-insurance-applications2024-04-12T18:00Znever https://www.findknowdo.com/news/02/11/2020/doj-charges-chinese-military-personnel-stealing-consumer-information-equifax2024-04-03T19:49Znever https://www.findknowdo.com/news/02/11/2020/nfa-reminds-members-recent-amendments-nfa-rules-and-guidance2024-04-05T19:34Znever https://www.findknowdo.com/news/02/11/2020/cftc-dsio-director-highlights-commodity-pool-operator-registration-and-disclosure-requirements2024-04-06T17:24Znever https://www.findknowdo.com/news/02/11/2020/court-rejects-challenge-t-mobile/sprint-merger-ftc-launches-tech-merger-investigation2024-04-03T20:09Znever https://www.findknowdo.com/news/02/12/2020/frb-vice-chair-randal-quarles-offers-recommendations-improve-bank-supervision2024-04-12T21:11Znever https://www.findknowdo.com/news/02/12/2020/nasaa-cites-improved-reporting-senior-financial-exploitation-under-model-act2024-02-03T22:51Znever https://www.findknowdo.com/news/02/12/2020/house-financial-services-committee-considers-legislation-diversity-and-inclusion2022-06-18T20:19Znever https://www.findknowdo.com/news/02/12/2020/house-committee-considers-measures-reduce-ai-bias-financial-services2022-06-18T20:19Znever https://www.findknowdo.com/news/02/12/2020/isda-examines-upcoming-developments-libor-transition2022-06-18T20:19Znever https://www.findknowdo.com/news/02/13/2020/cftc-commissioner-rostin-behnam-emphasizes-operational-readiness-transition-libor2024-04-06T17:24Znever https://www.findknowdo.com/news/02/13/2020/sec-charges-firm-and-investment-advisers-failure-disclose-financial-conflicts-interest2022-06-18T20:19Znever https://www.findknowdo.com/news/02/13/2020/doj-charges-individuals-conspiring-purchase-iranian-oil-violation-u.s.-sanctions2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/02/13/2020/doj-files-new-charges-against-china-based-telecom-company-accused-stealing-trade-secrets2024-04-03T19:49Znever https://www.findknowdo.com/news/02/14/2020/nyse-makes-recommendations-sec-proposal-nms-governance-market-data-plans2024-04-11T22:03Znever https://www.findknowdo.com/news/02/13/2020/treasury-secretary-steven-mnuchin-highlights-2021-funding-priorities2024-04-02T19:41Znever https://www.findknowdo.com/news/02/13/2020/ny-fed-publish-daily-sofr-averages2024-04-12T21:11Znever https://www.findknowdo.com/news/02/13/2020/nasaa-proposes-continuing-education-program-investment-adviser-representatives2024-02-03T22:51Znever https://www.findknowdo.com/news/02/14/2020/nfa-permanently-bars-cpo/cta-submitting-uncertified-liquidation-and-annual-statements2024-04-05T19:34Znever https://www.findknowdo.com/news/02/14/2020/gao-recommends-updates-irs-virtual-currency-guidance2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/02/14/2020/cftc-commissioner-rostin-behnam-warns-market-risks-associated-climate-change2024-04-06T17:24Znever https://www.findknowdo.com/news/02/14/2020/nyse-proposes-wireless-connectivity-services-and-fees2024-04-11T22:03Znever https://www.findknowdo.com/news/02/14/2020/sec-names-cybersecurity-policy-senior-advisor2022-06-18T20:19Znever https://www.findknowdo.com/news/02/14/2020/reg.-tracker-february-16-february-292022-06-18T20:01Znever https://www.findknowdo.com/news/02/18/2020/senator-kirsten-gillibrand-introduces-bill-establish-federal-data-protection-agency2022-06-18T20:19Znever https://www.findknowdo.com/news/02/19/2020/sec-proposes-updating-nms-infrastructure-and-expanding-available-market-data2022-12-31T19:35Znever https://www.findknowdo.com/news/02/18/2020/crs-provides-overview-cfius-following-firrma-implementation2022-07-27T19:56Znever https://www.findknowdo.com/news/02/18/2020/finra-encourages-members-participate-committees2024-04-12T12:30Znever https://www.findknowdo.com/news/02/18/2020/ofac-sanctions-russian-oil-brokerage-firm-operations-venezuelas-oil-sector2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/02/18/2020/ofr-identifies-common-measures-determine-banks-systemic-risk2023-06-13T16:22Znever https://www.findknowdo.com/news/02/18/2020/illinois-residents-file-class-action-against-biometrics-company-collecting-information-without-consent2022-06-18T20:19Znever https://www.findknowdo.com/news/02/19/2020/finra-proposed-enhancements-continuing-education-requirements2024-04-12T12:30Znever https://www.findknowdo.com/news/02/19/2020/finra-recaps-disciplinary-actions-february-2020-report2024-04-12T12:30Znever https://www.findknowdo.com/news/02/19/2020/federal-register-sec-adopts-revisions-edgar-filer-manual2022-06-18T20:01Znever https://www.findknowdo.com/news/02/19/2020/federal-register-cftc-proposes-amendments-certain-trade-rules-swap-execution-facilities2024-04-06T17:24Znever https://www.findknowdo.com/news/02/19/2020/sec-and-pcaob-warn-impact-coronavirus-financial-reporting2022-12-03T02:17Znever https://www.findknowdo.com/news/02/19/2020/broker-dealer-settles-finra-charges-oats-reporting-inaccuracies2024-04-12T12:30Znever https://www.findknowdo.com/news/02/19/2020/foreign-private-issuer-settles-sec-charges-misleading-investors2022-06-18T20:19Znever https://www.findknowdo.com/news/02/20/2020/cftc-chair-heath-tarbert-highlights-hedging-exemptions-proposed-position-limits-amendments2024-04-06T17:24Znever https://www.findknowdo.com/news/02/19/2020/data-encryption-startup-settles-sec-charges-unregistered-offering-digital-tokens2022-07-02T22:30Znever https://www.findknowdo.com/news/02/20/2020/msrb-finalizes-enhancements-emma-website2024-04-12T00:18Znever https://www.findknowdo.com/news/02/20/2020/occ-and-fdic-extend-comment-deadline-proposed-revisions-cra-regulations2024-04-12T21:32Znever https://www.findknowdo.com/news/02/20/2020/irs-provides-guidance-and-related-safe-harbor-carbon-capture-tax-credit2024-04-04T18:51Znever https://www.findknowdo.com/news/02/20/2020/attorney-general-william-barr-raises-concerns-over-isp-immunity2024-04-03T19:49Znever https://www.findknowdo.com/news/02/20/2020/cftc-votes-propose-amendments-swap-data-reporting-requirements2024-04-06T17:24Znever https://www.findknowdo.com/news/02/21/2020/finra-conducts-review-firms-zero-commissions2024-04-12T12:30Znever https://www.findknowdo.com/news/02/21/2020/cbot-bans-trader-prohibited-wash-trades2024-04-05T18:42Znever https://www.findknowdo.com/news/02/21/2020/sec-updates-sbsd-registration-materials-includes-substituted-compliance-questionnaire2024-02-05T02:44Znever https://www.findknowdo.com/news/02/21/2020/fincen-names-first-digital-innovation-officer2024-04-02T18:51Znever https://www.findknowdo.com/news/02/24/2020/house-financial-services-committee-reports-bill-statute-limitations-certain-sec-actions2022-06-18T20:19Znever https://www.findknowdo.com/news/02/24/2020/msrb-publishes-criteria-designating-participants-business-continuity-and-disaster-recovery-testing2024-04-12T00:18Znever https://www.findknowdo.com/news/02/24/2020/sec-rejects-cboe-edga-exchange-proposed-trading-speed-bump2022-06-18T20:19Znever https://www.findknowdo.com/news/02/24/2020/broker-dealer-settles-finra-charges-permitting-personnel-non-u.s.-affiliate-trade2024-04-12T12:30Znever https://www.findknowdo.com/news/02/24/2020/cfpb-proposes-requirements-collection-time-barred-debts2024-04-12T17:06Znever https://www.findknowdo.com/news/02/24/2020/sec-notes-passing-former-chair-david-s.-ruder2022-06-18T20:01Znever https://www.findknowdo.com/news/02/24/2020/sec-office-credit-ratings-director-solicits-feedback-current-disclosure-obligations2024-01-31T14:59Znever https://www.findknowdo.com/news/02/25/2020/nfa-board-directors-elects-new-leadership-team2024-04-05T19:34Znever https://www.findknowdo.com/news/02/25/2020/fdic-provides-guidance-fintech-companies-working-banks2024-04-12T18:00Znever https://www.findknowdo.com/news/02/25/2020/isda-issues-new-consultation-pre-cessation-fallbacks-derivatives2022-06-18T20:01Znever https://www.findknowdo.com/news/02/25/2020/msrb-solicits-volunteers-new-market-transparency-advisory-group2024-04-12T00:18Znever https://www.findknowdo.com/news/02/25/2020/isda-summarizes-responses-supplemental-consultation-certain-benchmark-fallbacks2022-06-18T20:01Znever https://www.findknowdo.com/news/02/26/2020/finra-updates-financial-interpretations-reflect-single-issuer-exemption-broker-dealer-annual-reports2024-04-12T12:30Znever https://www.findknowdo.com/news/02/26/2020/isda-offers-best-practices-swap-trade-reporting-under-emir2022-11-21T13:12Znever https://www.findknowdo.com/news/02/26/2020/industry-associations-offer-recommendations-proposed-basel-iii-cva-framework2024-02-03T18:27Znever https://www.findknowdo.com/news/02/26/2020/cftc-commissioner-brian-quintenz-describes-tac-agenda2024-04-06T17:24Znever https://www.findknowdo.com/news/02/28/2020/reg.-tracker-march-1-march-152022-06-18T20:01Znever https://www.findknowdo.com/news/02/26/2020/sec-rejects-proposal-list-and-trade-bitcoins-regulated-exchange2022-06-18T20:19Znever https://www.findknowdo.com/news/02/27/2020/banking-agencies-make-corrections-community-bank-leverage-ratio-final-rule2024-04-12T21:32Znever https://www.findknowdo.com/news/02/27/2020/federal-register-finra-proposes-minimum-fees-arbitration-expungement-requests2024-04-12T12:30Znever https://www.findknowdo.com/news/02/27/2020/swiss-telecom-settles-charges-violating-global-terrorism-sanctions-regulations2024-03-06T23:31Znever https://www.findknowdo.com/news/02/27/2020/hollywood-action-star-settles-sec-charges-failing-disclose-ico-promotion-payments2022-07-02T22:30Znever https://www.findknowdo.com/news/02/27/2020/federal-register-cftc-proposes-new-position-limits-physical-commodity-derivatives2024-04-06T17:24Znever https://www.findknowdo.com/news/02/27/2020/finra-issues-guidance-handling-utma/ugma-accounts2024-04-12T12:30Znever https://www.findknowdo.com/news/02/27/2020/ofac-authorizes-certain-transactions-central-bank-iran2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/02/27/2020/frb-governor-michelle-bowman-describes-impact-payment-system-innovation-community-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/02/28/2020/sec-awards-7-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/02/28/2020/sec-sues-former-executive-manufacturing-company-insider-trading2022-06-18T20:19Znever https://www.findknowdo.com/news/02/28/2020/boe-describes-new-initiatives-support-transition-libor-sonia2022-06-18T20:19Znever https://www.findknowdo.com/news/02/28/2020/finra-issues-investor-tips-turbulent-markets2024-04-12T12:30Znever https://www.findknowdo.com/news/02/29/2020/u.s.-district-judge-overturns-fcpa-charges-against-former-energy-executive2022-06-18T20:01Znever https://www.findknowdo.com/news/03/02/2020/fia-urges-cftc-amend-audit-trail-requirements2022-06-18T20:19Znever https://www.findknowdo.com/news/03/02/2020/fia-offers-recommendations-proposed-revisions-cva-risk-framework2022-06-18T20:19Znever https://www.findknowdo.com/news/03/02/2020/house-financial-services-committee-reports-out-bill-increasing-sec-civil-monetary-penalties2022-06-18T20:19Znever https://www.findknowdo.com/news/03/02/2020/new-york-federal-reserve-publishes-daily-sofr-averages-and-index2024-04-12T21:11Znever https://www.findknowdo.com/news/03/02/2020/broker-dealer-settles-charges-oats-reporting-violations2024-04-12T12:30Znever https://www.findknowdo.com/news/03/02/2020/sec-reduces-financial-disclosure-requirements-credit-enhanced-debt-offerings2022-06-18T20:19Znever https://www.findknowdo.com/news/03/02/2020/sec-requests-input-ica-names-rule2022-06-18T20:19Znever https://www.findknowdo.com/news/03/03/2020/federal-register-cfpb-proposes-requirements-collection-time-barred-debts2024-04-12T17:06Znever https://www.findknowdo.com/news/03/03/2020/enforcement-sweep-doj-prosecutes-record-number-elder-financial-abuse-cases2024-04-03T19:49Znever https://www.findknowdo.com/news/03/03/2020/nfa-reminds-ctas-and-cpos-pr-form-filing-relief2024-04-05T19:34Znever https://www.findknowdo.com/news/03/03/2020/sec-amends-iaa-definitions-implement-rbic-adviser-exemptions2023-02-15T18:48Znever https://www.findknowdo.com/news/03/03/2020/msrb-reports-significant-decline-municipal-securities-trading-20192024-04-12T00:18Znever https://www.findknowdo.com/news/03/03/2020/trade-associations-and-nfa-recommend-modifications-swap-dealer-capital-rules2024-04-05T19:34Znever https://www.findknowdo.com/news/03/04/2020/fincen-assesses-civil-penalty-against-former-risk-officer-failing-prevent-bsa-violations2024-04-02T18:51Znever https://www.findknowdo.com/news/03/04/2020/nfa-urges-members-take-necessary-measures-prepare-coronavirus2024-04-05T19:34Znever https://www.findknowdo.com/news/03/05/2020/cftc-adopts-amendments-codifying-process-terminating-relief-foreign-futures-firms2024-04-06T17:24Znever https://www.findknowdo.com/news/03/04/2020/sec-offers-relief-and-assistance-u.s.-companies-and-fund-boards-affected-coronavirus2022-06-18T20:01Znever https://www.findknowdo.com/news/03/04/2020/federal-register-sec-proposes-rule-modernize-certain-financial-disclosure-requirements2022-06-18T20:01Znever https://www.findknowdo.com/news/03/04/2020/sec-proposes-ease-limits-private-placements2022-06-18T20:19Znever https://www.findknowdo.com/news/03/05/2020/sec-names-new-deputy-director-international-affairs2020-12-23T23:22Znever https://www.findknowdo.com/news/03/05/2020/frb-simplifies-capital-rules-big-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/03/05/2020/broker-dealer-settles-charges-failure-record-order-times2024-04-10T22:48Znever https://www.findknowdo.com/news/03/05/2020/isda-summarizes-findings-supplemental-consultation-benchmark-fallbacks2022-06-18T20:19Znever https://www.findknowdo.com/news/03/05/2020/regulators-urge-investors-provide-a-trusted-contact-brokers2024-04-12T12:30Znever https://www.findknowdo.com/news/03/06/2020/crs-examines-implications-limiting-secs-use-disgorgement-enforcement-actions2022-07-27T19:56Znever https://www.findknowdo.com/news/03/06/2020/federal-register-sec-requests-input-ica-names-rule2022-06-18T20:01Znever https://www.findknowdo.com/news/03/09/2020/consolidation-government-data-centers-continues-gao-provides-additional-recommendations2024-01-30T19:23Znever https://www.findknowdo.com/news/03/06/2020/sec-commissioner-allison-lee-advocates-better-climate-risk-disclosure2021-01-05T14:15Znever https://www.findknowdo.com/news/03/09/2020/ffiec-reminds-financial-institutions-include-pandemic-planning-business-continuity-plans2024-04-12T21:32Znever https://www.findknowdo.com/news/03/09/2020/nfa-proposes-amendments-rules-public-and-promotional-materials2024-04-05T19:34Znever https://www.findknowdo.com/news/03/09/2020/fdic-and-frb-propose-updating-resolution-plan-submission-guidance-certain-foreign-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/03/09/2020/arrc-extends-comment-deadline-consultation-about-potential-spread-adjustment-methodologies2022-12-03T00:52Znever https://www.findknowdo.com/news/03/09/2020/finra-urges-members-assess-business-continuity-preparedness2024-04-12T12:30Znever https://www.findknowdo.com/news/03/10/2020/msrb-addresses-supervisory-requirements-light-coronavirus2024-04-12T00:18Znever https://www.findknowdo.com/news/03/10/2020/finra-releases-aggregate-data-trace-treasury-securities-trading-volume2024-04-12T12:30Znever https://www.findknowdo.com/news/03/10/2020/cfpb-issues-semi-annual-report-congress2024-04-12T17:06Znever https://www.findknowdo.com/news/03/10/2020/president-trump-prohibits-chinese-acquisition-u.s.-software-company2024-03-06T21:38Znever https://www.findknowdo.com/news/03/16/2020/happy-st.-patricks-day2024-02-04T04:10Znever https://www.findknowdo.com/news/03/10/2020/sec-commissioner-elad-roisman-recommends-changes-sec-proxy-voting-process2022-06-18T20:19Znever https://www.findknowdo.com/news/03/10/2020/federal-register-sec-amends-iaa-definitions-implement-rbic-adviser-exemptions2023-02-15T18:49Znever https://www.findknowdo.com/news/03/11/2020/cfius-proposes-filing-fee-voluntary-notices-transactions2024-03-06T21:38Znever https://www.findknowdo.com/news/03/11/2020/cftc-approves-contract-market-designation-new-futures-exchange2024-04-06T17:24Znever https://www.findknowdo.com/news/03/11/2020/finra-assesses-gasb-accounting-support-fee2024-04-12T12:30Znever https://www.findknowdo.com/news/03/11/2020/u.s.-district-court-grants-default-judgment-against-unregistered-broker-selling-icos2022-07-02T22:30Znever https://www.findknowdo.com/news/03/11/2020/sec-amends-disclosure-requirements-variable-annuity-and-life-insurance-contracts2026-06-20T22:35Zmonthly https://www.findknowdo.com/news/03/11/2020/fia-issues-new-research-derivatives-market-trends2021-07-28T19:55Znever https://www.findknowdo.com/news/03/13/2020/trade-associations-recommend-changes-cftc-cross-border-swap-dealing-proposal2024-01-31T02:33Znever https://www.findknowdo.com/news/03/12/2020/state-regulators-and-attorneys-general-focus-predatory-lending2022-06-18T20:19Znever https://www.findknowdo.com/news/03/12/2020/sec-adopts-rule-amendments-recalibrate-reporting-requirements-smaller-issuers2022-06-18T20:19Znever https://www.findknowdo.com/news/03/12/2020/nfa-reminds-swap-dealers-reporting-requirements-amid-coronavirus-outbreak2024-04-05T19:34Znever https://www.findknowdo.com/news/03/12/2020/broker-dealer-settles-finra-charges-risk-management-control-failures2024-04-12T12:30Znever https://www.findknowdo.com/news/03/13/2020/california-ag-proposes-additional-revisions-state-data-privacy-regulations2023-06-10T18:03Znever https://www.findknowdo.com/news/03/13/2020/finra-proposes-rule-changes-conform-reg-bi2024-04-12T12:30Znever https://www.findknowdo.com/news/03/13/2020/finra-offers-tips-investors-coronavirus-spreads2024-04-12T12:30Znever https://www.findknowdo.com/news/03/13/2020/ofac-sanctions-subsidiary-russian-oil-company-venezuela-oil-operations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/03/13/2020/gao-revises-guidance-best-practices-agencies-using-cost-estimates2024-02-04T16:22Znever https://www.findknowdo.com/news/03/16/2020/isda-recommends-steps-comply-emir-refit-reporting-requirements2022-11-21T13:12Znever https://www.findknowdo.com/news/03/16/2020/federal-reserve-board-provides-support-economy2024-04-12T21:11Znever https://www.findknowdo.com/news/03/16/2020/sec-provides-certain-relief-funds-and-advisers-due-impact-coronavirus2021-01-24T04:32Znever https://www.findknowdo.com/news/03/16/2020/fdic-encourages-financial-institutions-support-borrowers-during-market-volatility2024-04-12T18:00Znever https://www.findknowdo.com/news/03/16/2020/options-clearing-corporation-issues-unscheduled-markets-closing-guide2024-04-11T16:37Znever https://www.findknowdo.com/news/03/16/2020/fincen-urges-financial-institutions-be-alert-fraudulent-transactions2024-04-02T18:51Znever https://www.findknowdo.com/news/03/16/2020/nfa-notifies-members-aps-can-work-home2024-04-05T19:34Znever https://www.findknowdo.com/news/03/17/2020/reg.-tracker-march-16-march-312022-06-18T20:19Znever https://www.findknowdo.com/news/03/17/2020/sec-provides-guidance-issuers-holding-annual-meetings-during-covid-19-pandemic2022-06-18T20:19Znever https://www.findknowdo.com/news/03/17/2020/sec-issues-waiver-allow-cboe-electronic-options-trading2024-04-10T19:06Znever https://www.findknowdo.com/news/03/17/2020/finra-recaps-disciplinary-actions-march-2020-report2024-04-12T12:30Znever https://www.findknowdo.com/news/03/17/2020/treasury-secretary-names-new-occ-chief-operating-officer2024-04-12T21:32Znever https://www.findknowdo.com/news/03/17/2020/cftc-staff-grants-no-action-relief-registrants-facing-covid-19-related-compliance-challenges2024-04-06T17:24Znever https://www.findknowdo.com/news/03/17/2020/sec-issues-exemptive-relief-cat-requirements2024-01-31T19:31Znever https://www.findknowdo.com/news/03/18/2020/fca-reviews-business-contingency-plans2022-12-03T16:44Znever https://www.findknowdo.com/news/03/18/2020/esma-recommends-contingency-measures-eu-market-participants2026-01-25T16:03Zyearly https://www.findknowdo.com/news/03/18/2020/frb-establishes-overnight-offering-and-term-funding-under-primary-dealer-credit-facility2024-04-12T21:11Znever https://www.findknowdo.com/news/03/18/2020/fdic-proposes-rules-parent-companies-industrial-banks-and-industrial-loan-companies-approves-first-applications-more-ten-years2024-04-12T12:30Znever https://www.findknowdo.com/news/03/18/2020/cftc-extends-initial-margin-compliance-deadline2024-04-06T17:24Znever https://www.findknowdo.com/news/03/18/2020/finra-provides-temporary-relief-concerning-signature-requirements-registration-form-filings2024-04-12T12:30Znever https://www.findknowdo.com/news/03/18/2020/federal-register-frb-simplifies-capital-rules-big-banks2024-04-12T21:11Znever https://www.findknowdo.com/news/03/19/2020/frb-establishes-money-market-mutual-fund-liquidity-facility2024-04-12T21:32Znever https://www.findknowdo.com/news/03/19/2020/frb-establishes-commercial-paper-funding-facility-address-financial-strain-market2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/03/19/2020/frb-and-central-banks-establish-u.s.-dollar-liquidity-swap-arrangements2024-04-12T21:11Znever https://www.findknowdo.com/news/03/19/2020/iaa-and-nasaa-offer-opposing-recommendations-sec-proposal-expand-access-private-capital2024-02-03T22:51Znever https://www.findknowdo.com/news/03/19/2020/nist-provides-cybersecurity-tips-teleworkers2024-04-04T19:10Znever https://www.findknowdo.com/news/03/19/2020/fdic-chair-jelena-mcwilliams-urges-fasb-allow-banks-focus-covid-19-related-challenges2024-04-12T18:00Znever https://www.findknowdo.com/news/03/19/2020/isda-extends-response-deadline-consultation-pre-cessation-fallbacks-derivatives2022-06-18T20:19Znever https://www.findknowdo.com/news/03/19/2020/nfa-issues-recordkeeping-compliance-relief-members2024-04-05T19:34Znever https://www.findknowdo.com/news/03/20/2020/ny-fed-reviews-information-primary-dealer-credit-facility2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/03/20/2020/finra-pushes-back-pilot-program-deadline-transactions-exchange-listed-securities-20202024-04-12T12:30Znever https://www.findknowdo.com/news/03/20/2020/finra-proposes-quick-resumption-trading-following-market-wide-circuit-breaker2024-04-12T12:30Znever https://www.findknowdo.com/news/03/20/2020/finra-revises-filing-process-underwriting-terms2024-04-12T12:30Znever https://www.findknowdo.com/news/03/20/2020/ofac-extends-authorization-ukraine-related-general-licenses2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/03/20/2020/blue-skies-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/03/20/2020/trade-associations-express-support-keeping-u.s.-financial-markets-open-issue-joint-statement2022-06-18T20:19Znever https://www.findknowdo.com/news/03/23/2020/kids-interrupting-conference-calls-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/03/23/2020/cftc-provides-reporting-relief-cpos2024-04-06T17:24Znever https://www.findknowdo.com/news/03/23/2020/cftc-staff-grants-temporary-major-swap-participant-relief-bank2024-04-06T17:24Znever https://www.findknowdo.com/news/03/23/2020/ici-urges-state-governors-exempt-fund-personnel-stay-home-orders2022-06-18T20:19Znever https://www.findknowdo.com/news/03/23/2020/sec-approves-nyse-move-full-electronic-trading2024-04-11T22:02Znever https://www.findknowdo.com/news/03/23/2020/sec-grants-conditional-regulatory-relief-transfer-agents2024-01-29T13:30Znever https://www.findknowdo.com/news/03/23/2020/banking-regulators-exercise-judgment-when-reviewing-covid-19-related-loan-modifications2024-04-12T21:32Znever https://www.findknowdo.com/news/03/23/2020/frb-highlights-measures-support-flow-credit2024-04-12T21:11Znever https://www.findknowdo.com/news/03/23/2020/sec-awards-1.6-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/03/24/2020/iosco-examines-regulatory-challenges-posed-stablecoins2022-07-02T21:01Znever https://www.findknowdo.com/news/03/24/2020/msrb-extends-comment-deadline-proposed-board-governance-amendments-due-covid-192024-04-12T00:18Znever https://www.findknowdo.com/news/03/24/2020/nfa-provides-reporting-relief-cpos-and-ctas2024-04-05T19:34Znever https://www.findknowdo.com/news/03/24/2020/sec-provides-short-term-funding-flexibility-certain-registered-funds-and-insurance-accounts2022-06-18T20:19Znever https://www.findknowdo.com/news/03/24/2020/i-love-new-york-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/03/24/2020/crs-summarizes-pending-legislation-assist-small-businesses2022-07-27T19:58Znever https://www.findknowdo.com/news/03/24/2020/crs-reviews-federal-reserve-measures-stimulate-economy2023-08-21T18:17Znever https://www.findknowdo.com/news/03/24/2020/nydfs-emergency-regulation-clarifies-governor-cuomos-eo-loan-forbearance2024-02-03T23:12Znever https://www.findknowdo.com/news/03/25/2020/broker-dealer-firm-settles-finra-charges-failing-safeguard-customer-personal-information2024-04-12T12:30Znever https://www.findknowdo.com/news/03/25/2020/cftc-staff-reports-current-derivatives-market-data2024-04-06T17:24Znever https://www.findknowdo.com/news/03/25/2020/frb-modifies-guidance-supervisory-practices2024-04-12T21:11Znever https://www.findknowdo.com/news/03/25/2020/uk-leaders-commend-banks-supporting-businesses-and-customers-affected-covid-192024-02-03T19:56Znever https://www.findknowdo.com/news/03/25/2020/cftc-approves-interpretative-guidance-actual-delivery-virtual-currency-transactions2024-04-06T17:24Znever https://www.findknowdo.com/news/03/25/2020/fca-and-bank-england-reaffirm-libor-transition-date2023-06-10T14:39Znever https://www.findknowdo.com/news/03/25/2020/ny-fed-provides-faqs-new-commercial-paper-funding-facility2024-04-12T21:11Znever https://www.findknowdo.com/news/03/25/2020/finra-provides-temporary-exemption-fingerprinting-requirements-issues-additional-resources-navigating-coronavirus-pandemic2024-04-12T12:29Znever https://www.findknowdo.com/news/03/25/2020/federal-register-finra-proposes-rule-changes-conform-reg-bi2024-04-12T12:29Znever https://www.findknowdo.com/news/03/25/2020/sec-extends-reporting-deadlines2022-01-03T21:08Znever https://www.findknowdo.com/news/03/25/2020/sec-issues-guidance-disclosure-covid-19-risks-and-effects2020-12-15T05:51Znever https://www.findknowdo.com/news/03/26/2020/tgif-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/03/26/2020/broker-dealer-settles-finra-charges-trace-reporting-failures2024-04-12T12:29Znever https://www.findknowdo.com/news/03/26/2020/broker-dealer-settles-finra-charges-certain-financial-advisor-violations2024-04-12T12:29Znever https://www.findknowdo.com/news/03/26/2020/ofac-makes-technical-amendments-nicaragua-related-general-licenses2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/03/26/2020/msrb-publishes-daily-trading-summary2024-04-12T00:18Znever https://www.findknowdo.com/news/03/26/2020/fincen-issues-advisory-aml/cft-deficiencies-list2024-04-02T18:51Znever https://www.findknowdo.com/news/03/27/2020/sdny-issues-injunction-against-digital-coin-distributor2022-06-18T20:19Znever https://www.findknowdo.com/news/03/26/2020/industry-groups-urge-extension-initial-margin-implementation-deadlines2022-06-18T20:19Znever https://www.findknowdo.com/news/03/26/2020/nfa-extends-reporting-deadlines-introducing-brokers2024-04-05T19:34Znever https://www.findknowdo.com/news/03/27/2020/finra-recommends-strengthening-cybersecurity-controls2024-04-12T12:29Znever https://www.findknowdo.com/news/03/27/2020/sec-adopts-temporary-final-rule-provide-relief-certain-filing-and-reporting-obligations2022-06-18T20:19Znever https://www.findknowdo.com/news/03/27/2020/fdic-provides-30-day-grace-period-call-report-filings2024-04-12T18:00Znever https://www.findknowdo.com/news/03/27/2020/sec-charges-regional-vp-retail-pharmacy-insider-trading2022-06-18T20:19Znever https://www.findknowdo.com/news/03/27/2020/nasaa-establishes-covid-19-update-center2024-02-03T22:51Znever https://www.findknowdo.com/news/03/27/2020/financial-regulators-share-responses-pandemic2024-04-12T21:32Znever https://www.findknowdo.com/news/03/27/2020/finra-warns-investors-coronavirus-related-scams2024-04-12T12:29Znever https://www.findknowdo.com/news/03/30/2020/basel-committee-group-delays-basel-iii-implementation-deadlines2024-02-05T17:30Znever https://www.findknowdo.com/news/03/30/2020/federal-register-sec-provides-certain-relief-funds-and-advisers-due-impact-coronavirus2022-06-18T20:19Znever https://www.findknowdo.com/news/03/30/2020/sec-awards-450000-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/03/30/2020/nasaa-warns-investors-covid-19-fraud-schemes2024-02-03T22:51Znever https://www.findknowdo.com/news/03/30/2020/gao-recommends-agencies-improve-electronic-recordkeeping-requirements2024-01-30T19:23Znever https://www.findknowdo.com/news/03/31/2020/now-available-topic-pages-corporate-disclosure-and-regulation-s-k2024-09-23T17:27Zyearly https://www.findknowdo.com/news/03/31/2020/frb-delays-effective-date-final-rule-revising-control-regulations2024-04-12T21:11Znever https://www.findknowdo.com/news/03/31/2020/nydfs-provides-temporary-relief-consumers-and-businesses-certain-premium-payments2024-02-03T23:12Znever https://www.findknowdo.com/news/03/31/2020/sec-division-corp-fin-clarifies-covid-19-reporting-extensions2022-06-18T20:19Znever https://www.findknowdo.com/news/04/01/2020/lets-be-alone-together-playlist2024-02-04T04:10Znever https://www.findknowdo.com/news/04/01/2020/cftc-provides-temporary-relief-foreign-brokers-acting-ibs2024-04-06T17:24Znever https://www.findknowdo.com/news/04/01/2020/cfpb-issues-guide-mortgage-relief-under-cares-act2024-04-12T17:06Znever https://www.findknowdo.com/news/04/01/2020/crs-reviews-eligibility-covid-19-recovery-rebates2022-07-27T19:58Znever https://www.findknowdo.com/news/04/02/2020/reg.-tracker-april-1-april-152022-06-18T20:19Znever https://www.findknowdo.com/news/04/02/2020/frb-immediately-temporarily-eases-supplementary-leverage-ratio2024-04-12T21:11Znever https://www.findknowdo.com/news/04/02/2020/agencies-consider-delayed-comments-proposed-volcker-rule-amendments2024-04-12T21:32Znever https://www.findknowdo.com/news/04/02/2020/federal-register-sec-proposes-ease-limits-private-placements2022-06-18T20:19Znever https://www.findknowdo.com/news/04/02/2020/house-committee-urges-frb-allow-consumer-loans-talf2022-06-18T20:19Znever https://www.findknowdo.com/news/04/02/2020/msrb-begins-publishing-state-and-local-emma-disclosure-reports2024-04-12T00:18Znever https://www.findknowdo.com/news/04/02/2020/finra-extends-pilot-program-deadline-transactions-exchange-listed-securities2024-04-12T12:29Znever https://www.findknowdo.com/news/04/03/2020/sec-will-not-delay-reg-bi-compliance-date2023-05-23T00:07Znever https://www.findknowdo.com/news/04/03/2020/fdic-highlights-relief-small-businesses-provided-under-cares-act2024-04-12T18:00Znever https://www.findknowdo.com/news/04/03/2020/sec-chief-accountant-sagar-teotia-highlights-covid-19-accounting-issues2022-12-03T00:35Znever https://www.findknowdo.com/news/04/03/2020/bcbs-and-iosco-delay-uncleared-margin-implementation2024-02-05T17:30Znever https://www.findknowdo.com/news/04/03/2020/fincen-provides-updated-guidance-bsa-obligations-and-disbursal-funds-under-cares-act2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/04/03/2020/ofac-amends-venezuela-general-license2024-03-06T23:31Znever https://www.findknowdo.com/news/04/03/2020/fdic-extends-comment-deadline-proposal-revise-brokered-deposit-regime2024-04-12T18:00Znever https://www.findknowdo.com/news/04/06/2020/sec-awards-2-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/04/06/2020/federal-reserve-fdic-and-occ-modify-community-bank-leverage-ratio2024-04-12T21:32Znever https://www.findknowdo.com/news/04/06/2020/federal-banking-agencies-ease-certain-requirements-facilitate-mortgage-service-forbearance-programs2024-04-12T21:32Znever https://www.findknowdo.com/news/04/06/2020/nyag-proposes-revisions-registration-rules-new-york-securities-industry2022-11-14T03:45Znever https://www.findknowdo.com/news/04/06/2020/sec-commissioner-peirce-recommends-regulatory-improvements-aid-small-businesses2022-06-18T20:19Znever https://www.findknowdo.com/news/04/06/2020/sec-commissioner-lee-urges-greater-compliance-and-enforcement-consideration-during-covid-192022-06-18T20:19Znever https://www.findknowdo.com/news/04/06/2020/cftc-warns-increase-fraud-unregistered-brokers2024-04-06T17:24Znever https://www.findknowdo.com/news/04/07/2020/frb-encourages-participation-cares-act-lending-programs2024-04-12T21:11Znever https://www.findknowdo.com/news/04/07/2020/white-house-establishes-committee-foreign-participation-u.s.-telecommunications2024-04-03T19:49Znever https://www.findknowdo.com/news/04/07/2020/sec-suspends-companies-statements-and-promotions-covid-19-related-capabilities2022-06-18T20:19Znever https://www.findknowdo.com/news/04/08/2020/now-access-cares-act-us-regulatory-intelligence-fully-searchable-and-hyperlinked2024-09-23T17:20Zyearly https://www.findknowdo.com/news/04/07/2020/broker-dealer-settles-sec-charges-recordkeeping-and-reporting-violations2022-06-18T20:19Znever https://www.findknowdo.com/news/04/07/2020/banking-regulators-issue-revised-statement-accounting-certain-loan-modifications2024-04-12T21:32Znever https://www.findknowdo.com/news/04/07/2020/sec-upholds-expulsion-broker-dealer-finra2022-06-18T20:19Znever https://www.findknowdo.com/news/04/08/2020/division-corporation-finance-clarifies-covid-19-filing-extensions2022-06-18T20:19Znever https://www.findknowdo.com/news/04/09/2020/sec-ocie-highlights-scope-and-content-reg.-bi-and-form-crs-examinations2024-04-12T12:29Znever https://www.findknowdo.com/news/04/08/2020/federal-reserve-board-amends-consent-order-wells-fargo-support-small-businesses2024-04-12T21:11Znever https://www.findknowdo.com/news/04/09/2020/sec-updates-guidance-issuers-holding-annual-meetings-during-covid-19-pandemic2022-06-18T20:19Znever https://www.findknowdo.com/news/04/08/2020/senators-urge-treasury-secretary-assist-mortgage-servicers2022-06-18T20:19Znever https://www.findknowdo.com/news/04/08/2020/sec-adopts-amendments-offering-process-bdcs-and-closed-end-funds2022-06-18T20:19Znever https://www.findknowdo.com/news/04/09/2020/frb-chair-powell-describes-recent-actions-support-economy2024-04-12T21:11Znever https://www.findknowdo.com/news/04/10/2020/cabinet-introduces-new-covid-19-regulatory-tool2024-02-04T04:10Znever https://www.findknowdo.com/news/04/09/2020/federal-reserve-board-establishes-main-street-lending-programs2024-04-12T21:11Znever https://www.findknowdo.com/news/04/09/2020/banking-regulators-reduce-capital-charges-ppp-loans2024-04-12T21:11Znever https://www.findknowdo.com/news/04/09/2020/two-defendants-settle-sec-charges-hacking-edgar-system2022-06-18T20:19Znever https://www.findknowdo.com/news/04/09/2020/federal-register-cftc-extends-initial-margin-compliance-deadline2024-04-06T17:24Znever https://www.findknowdo.com/news/04/10/2020/msrb-proposes-extensions-temporary-relief-light-covid-19-pandemic2024-04-12T00:18Znever https://www.findknowdo.com/news/04/10/2020/finra-allow-customers-rescind-arbitration-claim-against-inactive-members2024-04-12T12:29Znever https://www.findknowdo.com/news/04/10/2020/us-regulatory-intelligence-expands-banking-materials-include-frb-legal-interpretations2024-09-23T17:18Zyearly https://www.findknowdo.com/news/04/10/2020/sec-raises-risk-management-requirements-clearing-agencies-and-depositories2024-01-31T02:33Znever https://www.findknowdo.com/news/04/10/2020/sec-provides-temporary-flexibility-allowing-bdcs-issue-senior-securities2022-06-18T20:19Znever https://www.findknowdo.com/news/04/10/2020/ofac-amends-north-korea-sanctions-regulations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/04/10/2020/sec-says-nanoseconds-good-enough-timestamps2022-06-18T20:19Znever https://www.findknowdo.com/news/04/10/2020/broker-dealer-fined-cip-and-aml-deficiencies2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/04/13/2020/broker-dealer-fined-failing-prevent-unauthorized-transfers2024-04-12T12:29Znever https://www.findknowdo.com/news/04/13/2020/federal-register-banking-regulators-reduce-capital-charges-ppp-loans2024-04-12T21:32Znever https://www.findknowdo.com/news/04/13/2020/cftc-extends-comment-deadlines-several-proposed-rule-changes2024-04-06T17:24Znever https://www.findknowdo.com/news/04/13/2020/sec-division-corporation-finance-provides-relief-submitting-form-144-mail2022-06-18T20:19Znever https://www.findknowdo.com/news/04/13/2020/frb-vice-president-supervision-quarles-plans-incorporate-response-coronavirus-stress-tests2024-04-12T21:11Znever https://www.findknowdo.com/news/04/13/2020/arrc-publishes-sofr-spread-adjustment-similar-isda-recommends-one-year-transition-consumer-products2022-06-18T20:19Znever https://www.findknowdo.com/news/04/13/2020/sec-names-new-chief-counsel-office-chief-accountant2022-06-18T20:19Znever https://www.findknowdo.com/news/04/14/2020/federal-register-frb-temporarily-eases-supplementary-leverage-ratio2024-04-12T21:10Znever https://www.findknowdo.com/news/04/14/2020/isda-publishes-annual-survey-derivatives-margin2022-06-18T20:19Znever https://www.findknowdo.com/news/04/14/2020/iosco-reviews-regulatory-role-sustainable-finance2022-06-18T20:19Znever https://www.findknowdo.com/news/04/14/2020/associations-urge-treasury-regulators-expand-access-ppp2022-06-18T20:19Znever https://www.findknowdo.com/news/04/14/2020/sec-charges-former-executive-bribing-ghanaian-officials2024-02-05T02:44Znever https://www.findknowdo.com/news/04/15/2020/cftc-proposes-comprehensive-update-bankruptcy-regulations2024-04-06T17:24Znever https://www.findknowdo.com/news/04/15/2020/cftc-proposes-amendments-clearing-exemptions2024-04-06T17:24Znever https://www.findknowdo.com/news/04/15/2020/cftc-proposes-updating-forms-enhance-integration-cpo-data-collection2024-04-06T17:24Znever https://www.findknowdo.com/news/04/15/2020/regulators-defer-appraisal-requirements-certain-real-estate-transactions2024-04-12T21:30Znever https://www.findknowdo.com/news/04/15/2020/cftc-adopts-swaps-margin-exemption-european-stability-mechanism2024-04-06T17:24Znever https://www.findknowdo.com/news/04/15/2020/congressional-representatives-urge-frb-assist-mortgage-servicers2022-06-18T20:19Znever https://www.findknowdo.com/news/04/15/2020/isda-reports-preliminary-results-consultation-pre-cessation-fallback-triggers2022-06-18T20:19Znever https://www.findknowdo.com/news/04/15/2020/finra-proposes-further-restrictions-firms-bad-history2024-04-12T12:29Znever https://www.findknowdo.com/news/04/16/2020/u.s.-agencies-issue-north-korea-cyber-threat-advisory2024-04-03T19:49Znever https://www.findknowdo.com/news/04/16/2020/reg.-tracker-april-16-april-302022-06-18T20:19Znever https://www.findknowdo.com/news/04/16/2020/cftc-adopts-technical-corrections-consumer-data-protection-rules2024-04-06T17:24Znever https://www.findknowdo.com/news/04/16/2020/ofac-allows-humanitarian-assistance-sanctioned-countries2024-03-06T23:31Znever https://www.findknowdo.com/news/04/16/2020/cfpb-and-fhfa-introduce-information-sharing-program2024-04-12T17:06Znever https://www.findknowdo.com/news/04/16/2020/iosco-reports-results-annual-hedge-fund-survey2022-06-18T20:19Znever https://www.findknowdo.com/news/04/16/2020/finra-recaps-disciplinary-actions-april-2020-report2024-04-12T12:29Znever https://www.findknowdo.com/news/04/16/2020/finra-provides-guidance-transition-finra-gateway2024-04-12T12:29Znever https://www.findknowdo.com/news/04/17/2020/crs-reviews-direct-payment-provisions-under-cares-act2022-07-27T19:58Znever https://www.findknowdo.com/news/04/17/2020/nydfs-provides-temporary-relief-concerning-person-and-shareholder-meetings2024-02-03T23:12Znever https://www.findknowdo.com/news/04/17/2020/sec-awards-27-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/04/17/2020/nasaa-offers-state-state-covid-19-regulatory-response-information2024-02-03T22:51Znever https://www.findknowdo.com/news/04/20/2020/cftc-requests-comment-climate-risk-initiatives2024-04-06T17:24Znever https://www.findknowdo.com/news/04/20/2020/sec-share-class-selection-disclosure-initiative-ends-three-settlements2022-06-18T20:19Znever https://www.findknowdo.com/news/04/20/2020/ofac-urges-firms-provide-notice-anticipated-delays-regulatory-reporting2024-03-06T23:31Znever https://www.findknowdo.com/news/04/20/2020/finra-warns-firms-risks-senior-investors-concerning-customer-trusts2024-04-12T12:29Znever https://www.findknowdo.com/news/04/20/2020/ny-fed-issues-faqs-primary-and-secondary-market-corporate-credit-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/04/20/2020/arrc-identifies-2020-key-objectives2022-06-18T20:19Znever https://www.findknowdo.com/news/04/20/2020/broker-dealer-fined-oats-reporting-failures2024-04-12T12:29Znever https://www.findknowdo.com/news/04/21/2020/frb-modifies-ppp-allow-certain-small-business-loans-bank-officers-directors-and-shareholders2024-04-12T21:10Znever https://www.findknowdo.com/news/04/21/2020/sec-awards-5-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/04/21/2020/cftc-grants-designated-contract-market-status-bitcoin-exchange2024-04-06T17:24Znever https://www.findknowdo.com/news/04/21/2020/gao-recommends-improvements-sec-operations2024-01-30T19:23Znever https://www.findknowdo.com/news/04/21/2020/sec-issues-orders-granting-exemptive-relief-support-cat-implementation2022-06-18T20:19Znever https://www.findknowdo.com/news/04/22/2020/ici-recommends-enhancements-sec-proposal-investment-companies-use-derivatives2022-06-18T20:19Znever https://www.findknowdo.com/news/04/22/2020/ofac-extends-expiration-date-venezuela-general-license2024-03-06T23:31Znever https://www.findknowdo.com/news/04/22/2020/sec-identifies-investment-risks-concerning-emerging-markets2022-12-03T02:17Znever https://www.findknowdo.com/news/04/22/2020/federal-register-frb-modifies-ppp-allow-certain-small-business-loans-bank-officers-directors-and-shareholders2024-04-12T21:10Znever https://www.findknowdo.com/news/04/22/2020/sec-proposes-modernize-fund-valuation-practices2022-06-18T20:19Znever https://www.findknowdo.com/news/04/23/2020/sifma-urges-sec-not-make-broker-dealers-liable-cat-database-breaches2024-01-31T19:31Znever https://www.findknowdo.com/news/04/22/2020/nfa-amends-rules-promotional-materials2024-04-05T19:34Znever https://www.findknowdo.com/news/04/23/2020/federal-register-federal-reserve-board-fdic-and-occ-modify-community-bank-leverage-ratio2024-04-12T21:30Znever https://www.findknowdo.com/news/04/23/2020/finra-files-complaint-against-broker-dealer-allowing-disqualified-person-continue-securities-dealings2024-04-12T12:29Znever https://www.findknowdo.com/news/04/23/2020/fasb-proposes-limited-deferral-effective-dates-accounting-standards-updates2022-06-18T20:19Znever https://www.findknowdo.com/news/04/23/2020/cftc-commissioners-debate-pandemic-risks-agricultural-sector2024-04-06T17:23Znever https://www.findknowdo.com/news/04/23/2020/cftc-grants-no-action-relief-fcms-and-ibs-concerning-treatment-covered-loans-under-ppp2024-04-06T17:23Znever https://www.findknowdo.com/news/04/23/2020/division-investment-management-offers-limited-filing-extension2022-06-18T20:19Znever https://www.findknowdo.com/news/04/24/2020/federal-reserve-board-provide-updates-liquidity-and-lending-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/04/24/2020/federal-reserve-board-eliminates-transfer-limits-savings-deposits2024-04-12T21:10Znever https://www.findknowdo.com/news/04/24/2020/president-trump-signs-bill-provide-additional-covid-19-related-small-business-funding2022-06-18T20:19Znever https://www.findknowdo.com/news/04/24/2020/msrb-reviews-responses-covid-192024-04-12T00:18Znever https://www.findknowdo.com/news/04/24/2020/cftc-dsio-grants-temporary-relief-registration-fingerprint-requirement2024-04-06T17:23Znever https://www.findknowdo.com/news/04/27/2020/finra-issues-covid-19-related-guidance-fixed-income-mark-disclosures2024-04-12T12:29Znever https://www.findknowdo.com/news/04/27/2020/frb-publishes-faqs-commercial-paper-funding-facility2024-04-12T21:10Znever https://www.findknowdo.com/news/04/27/2020/fdic-and-federal-reserve-board-extend-comment-period-foreign-bank-resolutions2024-04-12T21:10Znever https://www.findknowdo.com/news/04/27/2020/nasaa-cautions-investment-advisers-improve-cybersecurity2024-02-03T22:51Znever https://www.findknowdo.com/news/04/28/2020/sec-charges-microcap-issuer-making-false-statements-concerning-supply-n95-masks2022-06-18T20:19Znever https://www.findknowdo.com/news/04/28/2020/federal-register-federal-reserve-board-eliminates-transfer-limits-savings-deposits2024-04-12T21:10Znever https://www.findknowdo.com/news/04/28/2020/sec-awards-18-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/04/28/2020/cftc-commissioner-quintenz-leave-cftc2024-04-06T17:23Znever https://www.findknowdo.com/news/04/29/2020/treasury-implements-fees-review-certain-cfius-transactions2024-03-06T21:38Znever https://www.findknowdo.com/news/04/29/2020/broker-dealer-settles-privacy-violations-connection-new-hires2024-04-12T12:29Znever https://www.findknowdo.com/news/04/29/2020/cfe-imposes-sanctions-trade-violations2024-04-05T18:23Znever https://www.findknowdo.com/news/04/30/2020/frb-expands-scope-main-street-lending-program2024-04-12T21:10Znever https://www.findknowdo.com/news/04/30/2020/finra-highlights-initiatives-protect-senior-investors2024-04-12T12:29Znever https://www.findknowdo.com/news/04/30/2020/finra-proposes-adding-cat-compliance-disposition-finra-minor-rule-violation-plan2024-04-12T12:29Znever https://www.findknowdo.com/news/04/30/2020/financial-institution-settles-ofac-charges-violations-weapons-mass-destruction-proliferators-sanctions2024-03-06T23:31Znever https://www.findknowdo.com/news/04/30/2020/reg.-tracker-may-1-may-152022-06-18T20:19Znever https://www.findknowdo.com/news/05/01/2020/frb-extends-compliance-dates-single-counterparty-credit-limits2024-04-12T21:10Znever https://www.findknowdo.com/news/05/01/2020/msrb-proposes-rule-changes-align-reg-bi2024-04-12T00:18Znever https://www.findknowdo.com/news/05/01/2020/ffiec-recommends-risk-management-practices-cloud-computing-services2024-04-12T18:00Znever https://www.findknowdo.com/news/05/01/2020/frb-expands-lender-eligibility-paycheck-protection-program-liquidity-facility2024-04-12T21:10Znever https://www.findknowdo.com/news/05/01/2020/crs-reports-government-responses-pandemic2022-07-27T19:58Znever https://www.findknowdo.com/news/05/04/2020/gao-recaps-priority-open-recommendations-frb2024-01-30T19:23Znever https://www.findknowdo.com/news/05/04/2020/federal-register-cftc-proposes-amendments-enhance-integration-cpo-data-collection2024-04-06T17:23Znever https://www.findknowdo.com/news/05/04/2020/fca-says-covid-19-will-delay-libor-transition2023-06-10T14:39Znever https://www.findknowdo.com/news/05/04/2020/broker-dealer-settles-finra-charges-suitability-and-marking-close-supervision-failures2024-04-12T12:29Znever https://www.findknowdo.com/news/05/04/2020/broker-dealer-fined-failing-update-representatives-registration-forms2024-04-12T12:29Znever https://www.findknowdo.com/news/05/04/2020/us-regulatory-intelligence-expands-banking-materials-include-all-frb-enforcement-actions2024-09-23T17:39Zyearly https://www.findknowdo.com/news/05/04/2020/us-regulatory-intelligence-expands-banking-materials-include-occ-enforcement-actions2024-09-23T17:39Zyearly https://www.findknowdo.com/news/05/04/2020/mfa-and-aima-recommend-modifications-sec-proposal-investment-companies-use-derivatives2024-02-03T18:36Znever https://www.findknowdo.com/news/05/05/2020/sec-and-cftc-each-announce-whistleblower-awards2024-04-06T17:23Znever https://www.findknowdo.com/news/05/05/2020/sec-urges-muni-issuers-improve-forward-looking-disclosures2024-02-04T21:05Znever https://www.findknowdo.com/news/05/05/2020/sec-chair-clayton-and-commissioner-peirce-stress-importance-disclosures-during-pandemic2022-06-18T20:19Znever https://www.findknowdo.com/news/05/05/2020/ny-fed-issues-additional-faqs-primary-and-secondary-market-corporate-credit-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/05/05/2020/sec-chair-clayton-cautions-main-street-investors-emerging-market-risk2022-06-18T20:19Znever https://www.findknowdo.com/news/05/05/2020/sec-issues-temporary-relief-issuers-conducting-offerings-under-regulation-crowdfunding2022-06-18T20:19Znever https://www.findknowdo.com/news/05/06/2020/agriculture-company-settles-ofac-charges-violating-cuban-assets-control-regulations2024-03-06T23:31Znever https://www.findknowdo.com/news/05/06/2020/finra-warns-firms-elevated-risks-fraud-during-pandemic2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/05/06/2020/nydfs-grants-virtual-currency-license2024-02-03T23:12Znever https://www.findknowdo.com/news/05/06/2020/crs-reviews-development-and-current-market-mortgage-servicing-rights2022-07-27T19:58Znever https://www.findknowdo.com/news/05/07/2020/sec-directs-equity-exchanges-and-finra-submit-new-consolidated-nms-plan2022-12-31T13:33Znever https://www.findknowdo.com/news/05/07/2020/banking-agencies-modify-liquidity-coverage-ratio-rule2024-04-12T21:30Znever https://www.findknowdo.com/news/05/07/2020/business-lender-settles-sec-charges-connection-securitization-revolving-pool2022-06-18T20:19Znever https://www.findknowdo.com/news/05/07/2020/federal-register-sec-issues-temporary-relief-issuers-conducting-offerings-under-regulation-crowdfunding2022-06-18T20:19Znever https://www.findknowdo.com/news/05/07/2020/commodity-trading-firm-settles-cftc-charges-engaging-wash-sales2024-04-06T17:23Znever https://www.findknowdo.com/news/05/07/2020/arrc-issues-supplemental-consultation-spread-adjustment-methodology2022-12-03T00:52Znever https://www.findknowdo.com/news/05/07/2020/cftc-reviews-position-limits-proposal2024-04-06T17:23Znever https://www.findknowdo.com/news/05/07/2020/broker-dealer-settles-finra-charges-short-system-reporting-failures2024-04-12T12:29Znever https://www.findknowdo.com/news/05/07/2020/cfpb-provides-guidance-ppp-application-process2024-04-12T17:06Znever https://www.findknowdo.com/news/05/08/2020/finra-proposes-temporary-relief-finra-staff-certain-procedural-requirements2024-04-12T12:29Znever https://www.findknowdo.com/news/05/08/2020/cftc-files-complaint-connection-fraudulent-marketing-binary-options-and-digital-assets2024-04-06T17:23Znever https://www.findknowdo.com/news/05/08/2020/broker-dealer-fined-order-routing-misrepresentations2020-12-15T06:01Znever https://www.findknowdo.com/news/05/08/2020/sec-suspends-trading-firm-marketing-virus-testing-products2022-06-18T20:19Znever https://www.findknowdo.com/news/05/11/2020/banking-agencies-issue-final-guidance-credit-risk-review2024-04-12T21:30Znever https://www.findknowdo.com/news/05/11/2020/sec-commissioner-peirce-encourages-bold-action-facilitate-capital-formation2022-06-18T20:19Znever https://www.findknowdo.com/news/05/11/2020/frb-revises-municipal-liquidity-facility-term-sheet-include-pricing-methodology2024-04-12T21:10Znever https://www.findknowdo.com/news/05/11/2020/finra-anticipates-future-regulatory-fee-increases2024-04-12T12:29Znever https://www.findknowdo.com/news/05/11/2020/federal-register-cftc-adopts-swaps-margin-exemption-european-stability-mechanism2024-04-06T17:23Znever https://www.findknowdo.com/news/05/12/2020/sec-chair-clayton-announces-changes-executive-staff2022-06-18T20:19Znever https://www.findknowdo.com/news/05/12/2020/cabinet-expands-small-business-administration-and-stimulus-resources2024-02-04T04:10Znever https://www.findknowdo.com/news/05/12/2020/finra-cautions-investors-recent-scams2024-04-12T12:29Znever https://www.findknowdo.com/news/05/12/2020/frb-provides-additional-information-talf-eligibility2024-04-12T21:10Znever https://www.findknowdo.com/news/05/12/2020/frb-and-occ-officials-detail-regulatory-and-supervisory-actions2024-04-12T21:30Znever https://www.findknowdo.com/news/05/13/2020/broker-dealer-settles-sec-charges-misleading-clients-costs-wrap-fee-program2022-06-18T20:16Znever https://www.findknowdo.com/news/05/14/2020/academic-study-examines-mandatory-central-clearing-rulemaking-process2024-02-07T20:40Znever https://www.findknowdo.com/news/05/12/2020/ofac-removes-sanctions-petroleum-products-company2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/05/13/2020/sec-division-enforcement-co-director-peikin-describes-recent-efforts-contend-investor-risk2022-06-18T20:19Znever https://www.findknowdo.com/news/05/14/2020/cftc-economists-find-strong-relationship-between-dealer-risk-appetite-and-real-economy-services2024-04-06T17:23Znever https://www.findknowdo.com/news/05/13/2020/sifma-amends-model-disclosure-documents-improve-compliance-msrb-conduct-rules2021-01-13T20:58Znever https://www.findknowdo.com/news/05/13/2020/cfpb-adopts-disclosure-rule-remittance-transfers2024-04-12T17:06Znever https://www.findknowdo.com/news/05/13/2020/fdic-proposes-mitigating-deposit-insurance-assessment-effects-pandemic-related-programs-and-facilities2024-04-12T18:00Znever https://www.findknowdo.com/news/05/13/2020/federal-register-cftc-proposes-amendments-clearing-exemptions2024-04-06T17:23Znever https://www.findknowdo.com/news/05/18/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/25/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/14/2020/sec-officials-highlight-agency-measures-protect-capital-markets2022-06-18T20:19Znever https://www.findknowdo.com/news/05/14/2020/bis-reports-ccp-bank-nexus-during-covid-19-pandemic2024-02-05T17:30Znever https://www.findknowdo.com/news/05/14/2020/sec-charges-two-issuers-fraud-touting-covid-19-products2022-06-18T20:16Znever https://www.findknowdo.com/news/05/14/2020/firm-fined-operating-without-sufficient-net-capital2024-04-12T12:29Znever https://www.findknowdo.com/news/05/15/2020/federal-register-sec-raises-risk-management-requirements-clearing-agencies-and-depositories2024-01-31T02:33Znever https://www.findknowdo.com/news/05/15/2020/sec-chair-clayton-reports-agencys-pandemic-activities2022-06-18T20:19Znever https://www.findknowdo.com/news/05/15/2020/reg.-tracker-may-16-may-312022-06-18T20:19Znever https://www.findknowdo.com/news/05/15/2020/cftc-divisions-caution-firms-risks-extreme-market-volatility2024-04-06T17:23Znever https://www.findknowdo.com/news/05/15/2020/isda-releases-results-second-consultation-pre-cessation-fallbacks2022-06-18T20:19Znever https://www.findknowdo.com/news/05/15/2020/ofac-state-department-and-coast-guard-provide-guidance-counter-illicit-shipping-and-sanctions-evasion2024-03-06T23:31Znever https://www.findknowdo.com/news/05/18/2020/sec-adopts-measures-facilitate-implementation-cat2024-01-31T19:31Znever https://www.findknowdo.com/news/05/18/2020/weekly-roundup-securities-enforcement-and-litigation-02024-02-04T04:10Znever https://www.findknowdo.com/news/05/18/2020/finra-recaps-disciplinary-actions-may-2020-report2024-04-12T12:29Znever https://www.findknowdo.com/news/05/18/2020/broker-dealer-settles-finra-charges-trace-reporting-inaccuracies2024-04-12T12:29Znever https://www.findknowdo.com/news/05/18/2020/broker-dealer-settles-finra-charges-overstating-its-executed-trade-volume2024-04-12T12:29Znever https://www.findknowdo.com/news/05/18/2020/banking-agencies-temporarily-adjust-supplementary-leverage-ratio2024-04-12T21:30Znever https://www.findknowdo.com/news/05/18/2020/crs-reviews-covid-19-related-forbearances-and-other-relief-options2022-07-27T19:58Znever https://www.findknowdo.com/news/05/18/2020/crs-reviews-community-bank-leverage-ratio2022-07-27T19:58Znever https://www.findknowdo.com/news/05/18/2020/finra-provides-additional-guidance-temporary-compliance-relief2024-04-12T12:29Znever https://www.findknowdo.com/news/05/19/2020/crs-examines-ip-rights-abroad-considers-state-sovereign-immunity-copyright-suits2023-04-05T20:44Znever https://www.findknowdo.com/news/05/19/2020/federal-register-cftc-adopts-technical-corrections-consumer-data-protection-rules2024-04-06T17:23Znever https://www.findknowdo.com/news/05/19/2020/broker-dealer-settles-finra-charges-special-reserve-account-deficiencies2024-04-12T12:29Znever https://www.findknowdo.com/news/05/19/2020/broker-dealer-settles-finra-charges-regulation-nms-violations2024-04-12T12:29Znever https://www.findknowdo.com/news/05/19/2020/sec-grants-no-action-relief-relating-certain-bank-sweep-receivables2022-06-18T20:19Znever https://www.findknowdo.com/news/05/19/2020/sec-provides-relief-broker-dealers-acting-agents-talf2022-06-18T20:01Znever https://www.findknowdo.com/news/05/19/2020/frb-chair-powell-and-treasury-secretary-mnuchin-detail-cares-act-efforts2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/05/19/2020/former-audit-partners-settle-sec-charges-improperly-sharing-examination-answers2022-06-18T20:19Znever https://www.findknowdo.com/news/05/19/2020/cftc-provides-limited-swaps-relief-sales-eu-listed-warrants2024-04-06T17:23Znever https://www.findknowdo.com/news/05/19/2020/sec-designates-finra-organization-receive-sbs-entity-focus-reports2022-06-18T20:19Znever https://www.findknowdo.com/news/05/20/2020/crs-provides-information-policymakers-covid-19-issues2022-07-27T19:56Znever https://www.findknowdo.com/news/05/21/2020/gmac-considers-recommendations-margin-requirements-non-cleared-swaps2024-04-06T17:23Znever https://www.findknowdo.com/news/05/20/2020/president-trump-orders-agencies-lighten-regulations-impairing-recovery2022-06-18T20:01Znever https://www.findknowdo.com/news/05/20/2020/cftc-division-enforcement-sets-forth-guidance-civil-monetary-penalty-recommendations2024-04-06T17:23Znever https://www.findknowdo.com/news/05/20/2020/cfpb-further-extends-comment-deadline-proposed-rule-collection-time-barred-debts2024-04-12T17:06Znever https://www.findknowdo.com/news/05/18/2020/weekly-roundup-cea-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/20/2020/industry-associations-comment-cftc-position-limits-proposal2024-04-06T17:23Znever https://www.findknowdo.com/news/05/21/2020/sec-approves-finra-proposal-add-cat-compliance-disposition-minor-rule-violation-plan2024-04-12T12:29Znever https://www.findknowdo.com/news/05/21/2020/sec-lessens-disclosures-requirements-business-acquisitions-and-dispositions2022-06-18T20:19Znever https://www.findknowdo.com/news/05/21/2020/occ-comptroller-otting-step-down-temporary-replacement-named2024-04-12T21:30Znever https://www.findknowdo.com/news/05/21/2020/occ-releases-final-rule-strengthen-and-modernize-regulations-under-community-reinvestment-act2024-04-12T21:30Znever https://www.findknowdo.com/news/05/22/2020/ecb-issues-guide-banks-climate-related-and-environmental-risk-management2022-11-15T03:15Znever https://www.findknowdo.com/news/05/22/2020/sec-commissioners-raise-concerns-about-emerging-market-risk-and-esg-disclosures2022-06-18T20:19Znever https://www.findknowdo.com/news/05/22/2020/finra-asks-members-views-security-based-swap-activities2024-04-12T12:29Znever https://www.findknowdo.com/news/05/22/2020/federal-register-sec-adopts-measures-facilitate-implementation-cat2024-01-31T19:31Znever https://www.findknowdo.com/news/05/22/2020/nfa-proposes-rule-changes-governing-bcc-disciplinary-process2024-04-05T19:34Znever https://www.findknowdo.com/news/05/22/2020/finra-amends-rules-incentivize-payment-arbitration-awards2024-04-12T12:29Znever https://www.findknowdo.com/news/05/22/2020/cftc-highlights-risks-commodity-etp-and-fund-investments2024-04-06T17:23Znever https://www.findknowdo.com/news/05/22/2020/nfa-proposes-new-definition-sef-rules-and-interpretive-notices2024-04-05T19:34Znever https://www.findknowdo.com/news/05/26/2020/weekly-roundup-aml-and-fcpa-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/26/2020/weekly-roundup-banking-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/26/2020/finra-penalizes-broker-dealer-certain-fixed-income-transaction-violations2024-04-12T12:29Znever https://www.findknowdo.com/news/05/26/2020/msrb-provides-municipal-bond-investors-issuer-disclosure-resources2024-04-12T00:18Znever https://www.findknowdo.com/news/05/26/2020/nasaa-president-urges-congress-be-skeptical-regulatory-liberalization-response-pandemic2024-02-03T22:51Znever https://www.findknowdo.com/news/05/26/2020/crs-details-sba-efforts-support-small-businesses-during-covid-192022-07-27T19:56Znever https://www.findknowdo.com/news/06/01/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/05/27/2020/arrc-recommends-best-practices-libor-transition2022-06-18T20:19Znever https://www.findknowdo.com/news/05/27/2020/private-equity-firm-settles-charges-failures-handling-material-non-public-information2022-06-18T20:19Znever https://www.findknowdo.com/news/05/27/2020/nasaa-proposes-model-whistleblower-award-and-protection-act2024-02-03T22:51Znever https://www.findknowdo.com/news/05/27/2020/nyse-reopens-trading-floor2024-04-11T22:02Znever https://www.findknowdo.com/news/05/27/2020/finra-tells-firms-document-reliance-covid-19-relief2024-04-12T12:29Znever https://www.findknowdo.com/news/05/27/2020/sec-extends-regulatory-relief-registered-transfer-agents2024-01-29T13:30Znever https://www.findknowdo.com/news/05/29/2020/sec-staff-withdraws-prior-guidance-control-share-acquisition-statutes2022-11-13T22:50Znever https://www.findknowdo.com/news/05/28/2020/sec-officials-highlight-efforts-address-current-market-conditions2021-01-05T18:38Znever https://www.findknowdo.com/news/05/28/2020/broker-dealer-fined-supervisory-violations-connection-uit-transactions2024-04-12T12:28Znever https://www.findknowdo.com/news/05/28/2020/cftc-delays-initial-margin-phase-five-requirements-uncleared-derivatives2024-04-06T17:23Znever https://www.findknowdo.com/news/05/28/2020/cftc-proposes-amending-cpo-exemption-facilitate-cross-border-activity2024-04-06T17:23Znever https://www.findknowdo.com/news/05/28/2020/dol-adopts-electronic-disclosure-safe-harbor-employee-benefit-plans2024-04-04T19:19Znever https://www.findknowdo.com/news/05/29/2020/iosco-requests-comments-updated-outsourcing-guidelines2024-01-31T14:59Znever https://www.findknowdo.com/news/05/29/2020/industry-associations-and-sros-comment-market-data-fees2024-04-12T12:28Znever https://www.findknowdo.com/news/06/01/2020/sdny-holds-syndicated-loan-not-security2022-11-22T15:17Znever https://www.findknowdo.com/news/05/29/2020/blockchain-firm-penalized-distribution-unregistered-ico2021-02-01T19:57Znever https://www.findknowdo.com/news/05/29/2020/cftc-enforcement-director-urges-firms-heed-recent-guidance-civil-money-penalties2024-04-06T17:23Znever https://www.findknowdo.com/news/05/29/2020/iosco-encourages-issuers-provide-high-quality-disclosures-concerning-impact-covid-192022-12-03T00:35Znever https://www.findknowdo.com/news/05/29/2020/finra-reviews-supervisory-practices-over-remote-working-environments2024-04-12T12:28Znever https://www.findknowdo.com/news/06/01/2020/msrb-temporarily-waives-assessment-fees-relating-mlf2024-04-12T00:18Znever https://www.findknowdo.com/news/06/01/2020/weekly-roundup-securities-enforcement-and-litigation-02024-02-04T04:10Znever https://www.findknowdo.com/news/06/01/2020/fannie-mae-and-freddie-mac-publish-libor-transition-playbook2022-12-03T00:52Znever https://www.findknowdo.com/news/06/01/2020/broker-dealer-charged-suitability-and-supervisory-violations-involving-private-placements2024-04-12T12:28Znever https://www.findknowdo.com/news/06/01/2020/sec-makes-technical-correction-final-rule-recordkeeping-and-reporting-requirements-sbsds2022-06-18T20:19Znever https://www.findknowdo.com/news/06/01/2020/nfa-proposes-updates-guidance-required-disclosures-security-futures-contracts2024-04-05T19:34Znever https://www.findknowdo.com/news/06/01/2020/nfa-proposes-amendments-aml-interpretive-notice2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/06/01/2020/reg.-tracker-june-1-152022-06-18T20:19Znever https://www.findknowdo.com/news/06/02/2020/federal-register-banking-agencies-temporarily-adjust-supplementary-leverage-ratio2024-04-12T21:30Znever https://www.findknowdo.com/news/06/02/2020/federal-register-sec-extends-conditional-regulatory-relief-transfer-agents2024-01-29T13:30Znever https://www.findknowdo.com/news/06/02/2020/broker-dealer-fined-falsely-advertising-trading-volumes2024-04-12T12:28Znever https://www.findknowdo.com/news/06/08/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/02/2020/nfa-incorporates-recent-rule-amendments-self-examination-questionnaire2024-04-05T19:34Znever https://www.findknowdo.com/news/06/03/2020/sec-commissioners-weigh-fixed-income-market-concerns2024-01-31T14:59Znever https://www.findknowdo.com/news/06/03/2020/banking-agencies-update-host-state-loan-deposit-ratios-20202024-04-12T21:30Znever https://www.findknowdo.com/news/06/03/2020/nfa-reminds-rfeds/fdms-and-ibs-capital-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/06/03/2020/cftc-mrac-considers-ccp-benchmark-transition2024-04-06T17:23Znever https://www.findknowdo.com/news/06/03/2020/frb-expands-number-and-type-entities-eligible-mlf2024-04-12T21:10Znever https://www.findknowdo.com/news/06/03/2020/finra-seeks-further-extension-cds-margin-pilot-program2024-04-12T12:28Znever https://www.findknowdo.com/news/06/08/2020/weekly-roundup-cea-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/03/2020/doj-updates-guidance-prosecutors-corporate-compliance-programs2024-04-03T19:49Znever https://www.findknowdo.com/news/06/04/2020/sec-sues-internet-investment-adviser-exam-and-registration-violations2022-11-17T19:58Znever https://www.findknowdo.com/news/06/04/2020/doj-files-asset-forfeiture-complaint-money-laundering-case2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/06/04/2020/cftc-disallows-cpo-exemptions-persons-subject-statutory-disqualifications2024-04-06T17:23Znever https://www.findknowdo.com/news/06/04/2020/nydfs-and-france-acpr-sign-mou-promote-fintech-cooperation2024-02-03T23:12Znever https://www.findknowdo.com/news/06/04/2020/sec-awards-50-million-whistleblower-case2024-01-30T02:46Znever https://www.findknowdo.com/news/06/05/2020/ofac-issues-new-faq-certain-iranian-sanctions2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/06/05/2020/cfpb-proposes-amendments-truth-lending-regulations-concerning-discontinuation-libor2024-04-12T17:06Znever https://www.findknowdo.com/news/06/05/2020/finra-and-securities-exchanges-participating-cat-submit-amended-exemption-requests2024-04-13T15:46Znever https://www.findknowdo.com/news/06/05/2020/insurance-underwriter-settles-sec-charges-understating-ceo-pay-proxy-statements2022-06-18T20:19Znever https://www.findknowdo.com/news/06/08/2020/dc-circuit-court-limits-sec-authority-exchange-fee-dispute2024-04-10T22:47Znever https://www.findknowdo.com/news/06/08/2020/msrb-proposes-amendments-board-selection-process2024-04-12T00:18Znever https://www.findknowdo.com/news/06/08/2020/president-trump-directs-working-group-address-chinese-compliance-u.s.-audit-standards2024-02-05T02:44Znever https://www.findknowdo.com/news/06/08/2020/sifma-urges-sec-protect-pii-cat2024-01-31T19:31Znever https://www.findknowdo.com/news/06/08/2020/clearing-firm-settles-finra-charges-capital-custody-and-recordkeeping-violations2024-04-12T12:28Znever https://www.findknowdo.com/news/06/09/2020/ny-fed-updates-talf-eligibility-faq2024-04-12T21:10Znever https://www.findknowdo.com/news/06/15/2020/weekly-roundup-cea-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/15/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/09/2020/president-trump-orders-federal-agencies-facilitate-economic-recovery2022-06-18T20:19Znever https://www.findknowdo.com/news/06/09/2020/frb-expands-main-street-lending-program-support-small-and-medium-sized-businesses2024-04-12T21:10Znever https://www.findknowdo.com/news/06/09/2020/forex-dealer-settles-cftc-charges-registration-and-supervisory-violations2024-04-06T17:23Znever https://www.findknowdo.com/news/06/09/2020/hud-and-fhfa-leaders-describe-initiatives-response-covid-192022-10-28T12:40Znever https://www.findknowdo.com/news/06/09/2020/nydfs-encourages-financial-services-innovation-fastforward-program2024-02-03T23:12Znever https://www.findknowdo.com/news/06/11/2020/cftc-awards-whistleblower-approximately-6-million2024-04-06T17:23Znever https://www.findknowdo.com/news/06/10/2020/cftc-chair-tarbert-elected-iosco-board-vice-chair2022-06-18T20:19Znever https://www.findknowdo.com/news/06/10/2020/cftc-extends-covid-19-related-no-action-relief2024-04-06T17:23Znever https://www.findknowdo.com/news/06/10/2020/sec-charges-trader-covid-19-pump-and-dump-scheme2020-12-16T21:53Znever https://www.findknowdo.com/news/06/10/2020/head-dojs-criminal-division-step-down2024-04-03T19:49Znever https://www.findknowdo.com/news/06/11/2020/firm-settles-finra-charges-failing-supervise-suitability-recommendations-uits2024-04-12T12:28Znever https://www.findknowdo.com/news/06/11/2020/msrb-answers-more-questions-covid-19-regulatory-relief2026-06-19T18:57Zmonthly https://www.findknowdo.com/news/06/11/2020/president-trump-authorizes-sanctions-against-international-criminal-court2024-02-01T00:14Znever https://www.findknowdo.com/news/06/11/2020/finra-proposes-extended-relief-staff2024-04-12T12:28Znever https://www.findknowdo.com/news/06/12/2020/sec-grants-relief-cat-participants-certain-reporting-requirements2024-01-31T19:31Znever https://www.findknowdo.com/news/06/15/2020/weekly-roundup-banking-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/12/2020/ec-proposes-amendments-emir-third-country-ccps2024-01-31T02:33Znever https://www.findknowdo.com/news/06/15/2020/nfa-extends-recordkeeping-compliance-relief-members2024-04-05T19:34Znever https://www.findknowdo.com/news/06/15/2020/broker-dealer-settles-finra-charges-reg-sho-violations2024-04-12T12:28Znever https://www.findknowdo.com/news/06/15/2020/nfa-and-aima-react-cftc-data-collection-proposal2024-04-06T17:23Znever https://www.findknowdo.com/news/06/15/2020/reg.-tracker-june-16-302022-06-18T20:19Znever https://www.findknowdo.com/news/06/22/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/16/2020/finra-recaps-disciplinary-actions-june-2020-report2024-04-12T12:28Znever https://www.findknowdo.com/news/06/16/2020/d.c.-circuit-vacates-sec-pilot-program-nms-stocks2024-04-11T22:02Znever https://www.findknowdo.com/news/06/16/2020/sec-chair-clayton-confirms-reg.-bi-implementation-date2022-06-18T20:19Znever https://www.findknowdo.com/news/06/16/2020/house-financial-services-committee-considers-proposed-legislation-cybersecurity2023-05-31T20:44Znever https://www.findknowdo.com/news/06/17/2020/broker-dealer-settles-finra-charges-late-trace-reporting2024-04-12T12:28Znever https://www.findknowdo.com/news/06/17/2020/sec-grants-broker-dealer-registration-exemption-muni-advisors2022-06-18T20:19Znever https://www.findknowdo.com/news/06/17/2020/sec-names-new-associate-director-division-enforcement2024-01-31T19:31Znever https://www.findknowdo.com/news/06/17/2020/amended-aml-compliance-guidance-fcms-and-ibs-now-effect2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/06/17/2020/sec-commissioners-address-municipal-securities-disclosure-practices2020-12-15T06:41Znever https://www.findknowdo.com/news/06/17/2020/arrc-requests-relief-relating-ccp-discounting-transition2022-12-03T00:52Znever https://www.findknowdo.com/news/06/22/2020/weekly-roundup-cea-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/18/2020/broker-dealer-settles-finra-charges-net-capital-maintenance-failures2024-04-12T12:28Znever https://www.findknowdo.com/news/06/18/2020/swap-dealer-settles-cftc-reporting-charges2024-04-06T17:23Znever https://www.findknowdo.com/news/06/18/2020/sec-ocie-provides-detail-libor-related-examinations2022-06-18T20:19Znever https://www.findknowdo.com/news/06/18/2020/insurance-company-settles-sec-charges-unsupported-loss-estimates2024-01-30T18:16Znever https://www.findknowdo.com/news/06/19/2020/federal-reserve-publishes-uniform-fraud-classification-model-payments-industry2024-04-12T21:10Znever https://www.findknowdo.com/news/06/19/2020/sec-officials-debate-approaches-small-business-capital-formation2023-04-25T20:05Znever https://www.findknowdo.com/news/06/19/2020/cfpb-establishes-pilot-advisory-opinion-program-address-regulatory-ambiguity2024-04-12T17:06Znever https://www.findknowdo.com/news/06/19/2020/finra-aligns-suitability-and-compensation-rules-reg.-bi2024-04-12T12:28Znever https://www.findknowdo.com/news/06/29/2020/weekly-roundup-securities-enforcement-and-litigation2024-02-04T04:10Znever https://www.findknowdo.com/news/06/22/2020/president-trump-nominate-sec-chair-clayton-u.s.-attorney-sdny2024-04-03T19:49Znever https://www.findknowdo.com/news/06/22/2020/finra-seeks-temporary-extension-office-inspection-deadline2024-04-12T12:28Znever https://www.findknowdo.com/news/06/22/2020/ofac-authorizes-wind-down-transactions-two-venezuelan-entities2024-03-06T23:31Znever https://www.findknowdo.com/news/06/22/2020/doj-charges-ceo-submitting-false-information-ppp-loan-applications2024-04-03T19:49Znever https://www.findknowdo.com/news/06/22/2020/supreme-court-rules-ill-gotten-gains-are-always-risk2022-06-18T20:19Znever https://www.findknowdo.com/news/06/23/2020/sec-extends-relief-funds-and-advisers-person-board-meeting-obligations2021-01-24T04:32Znever https://www.findknowdo.com/news/06/23/2020/sec-officials-provide-update-equity-market-structure-modernization2024-01-31T19:31Znever https://www.findknowdo.com/news/06/23/2020/uk-propose-legislation-libor-tough-legacy-contracts2022-12-03T16:45Znever https://www.findknowdo.com/news/06/23/2020/sec-division-corporation-finance-issues-additional-disclosure-guidance-covid-192022-06-18T20:19Znever https://www.findknowdo.com/news/06/24/2020/cftc-amends-nfa-individual-application-registration-form2024-04-06T17:23Znever https://www.findknowdo.com/news/06/24/2020/banking-regulators-provide-guidance-examiners-covid-19-risk-management-assessments2024-04-12T21:30Znever https://www.findknowdo.com/news/06/24/2020/doj-charges-texas-business-owner-filing-fraudulent-ppp-applications2024-04-03T19:49Znever https://www.findknowdo.com/news/06/24/2020/sec-chief-accountant-urges-high-quality-financial-reporting-during-pandemic2022-12-03T00:35Znever https://www.findknowdo.com/news/06/24/2020/ocie-highlights-compliance-deficiencies-investment-advisers-managing-private-funds2022-06-18T20:19Znever https://www.findknowdo.com/news/06/25/2020/prudential-regulators-adopt-swap-margin-amendments2024-04-12T21:30Znever https://www.findknowdo.com/news/06/25/2020/fasb-issues-qa-application-gaap-taxonomy-disclosures2024-04-09T14:54Znever https://www.findknowdo.com/news/06/26/2020/cftc-prohibits-post-trade-name-give2024-04-06T17:23Znever https://www.findknowdo.com/news/06/25/2020/agencies-adopt-amendments-volcker-rules-covered-funds-provisions2024-09-23T17:16Zyearly https://www.findknowdo.com/news/06/25/2020/federal-register-cftc-finalizes-interpretative-guidance-actual-delivery-virtual-currency-transactions2024-04-06T17:23Znever https://www.findknowdo.com/news/06/25/2020/finra-enhance-registration-form-user-interface2024-04-12T12:28Znever https://www.findknowdo.com/news/06/29/2020/cpmi-iosco-recommends-ccp-default-management-auction-practices2024-01-31T02:33Znever https://www.findknowdo.com/news/06/25/2020/broker-dealer-settles-sec-and-finra-charges-blue-sheet-inaccuracies2024-04-12T12:28Znever https://www.findknowdo.com/news/06/25/2020/broker-dealer-settles-finra-charges-supervisory-and-risk-management-failures2024-04-12T12:28Znever https://www.findknowdo.com/news/06/25/2020/clearing-houses-european-presidency-and-parliament-reach-agreement-ccp-recovery-and-resolution-plans2022-12-03T16:44Znever https://www.findknowdo.com/news/06/25/2020/sec-and-doj-sign-mou-enhance-competition-securities-industry2024-04-03T19:49Znever https://www.findknowdo.com/news/06/26/2020/broker-dealer-settles-finra-charges-supervisory-failures-concerning-volatility-etps2024-04-12T12:28Znever https://www.findknowdo.com/news/06/26/2020/doj-antitrust-division-and-sec-sign-precedential-mou2024-04-03T19:49Znever https://www.findknowdo.com/news/06/26/2020/cftc-adopts-amendment-inter-affiliate-clearing-rule2024-04-06T17:23Znever https://www.findknowdo.com/news/06/26/2020/cftc-proposes-delay-phase-six-initial-margin-requirements2024-04-06T17:23Znever https://www.findknowdo.com/news/06/26/2020/administration-provide-additional-ppp-loan-data-congress2022-06-18T20:19Znever https://www.findknowdo.com/news/06/26/2020/cftc-proposes-electronic-trading-principles-and-withdraws-proposed-reg2024-04-06T17:23Znever https://www.findknowdo.com/news/06/26/2020/sec-charges-issuer-ceo-and-lobbyist-cryptocurrency-fraud2023-06-04T12:44Znever https://www.findknowdo.com/news/06/26/2020/nydfs-launches-a-series-virtual-currency-initiatives-ease-market-entry2024-02-03T23:12Znever https://www.findknowdo.com/news/06/29/2020/digital-token-issuer-settles-sec-charges-unregistered-offerings2022-07-02T22:30Znever https://www.findknowdo.com/news/06/29/2020/msrb-updates-faqs-covid-19-regulatory-relief2024-04-12T00:18Znever https://www.findknowdo.com/news/06/29/2020/sec-officials-provide-updates-pandemic-relief2022-06-18T20:19Znever https://www.findknowdo.com/news/06/29/2020/frb-reports-2020-supervisory-stress-test-results2024-04-12T21:10Znever https://www.findknowdo.com/news/06/29/2020/broker-dealer-settles-finra-charges-disclosure-and-reporting-failures2024-04-12T12:28Znever https://www.findknowdo.com/news/06/29/2020/finra-proposes-amendments-cat-reporting-requirements2024-04-12T12:28Znever https://www.findknowdo.com/news/06/29/2020/trade-associations-recommend-reforms-eu-benchmarks-regulation2022-11-21T13:12Znever https://www.findknowdo.com/news/06/29/2020/municipal-securities-firm-settles-finra-charges-short-system-reporting-failures2024-04-12T12:28Znever https://www.findknowdo.com/news/06/29/2020/msrb-modifies-rules-align-reg.-bi2024-04-12T00:18Znever https://www.findknowdo.com/news/06/29/2020/supreme-court-finds-cfpb-structure-unconstitutional2024-04-12T17:06Znever https://www.findknowdo.com/news/06/30/2020/finra-extends-deadlines-completion-qualifying-examinations2024-04-12T12:28Znever https://www.findknowdo.com/news/06/30/2020/fcm-settles-cftc-charges-supervisory-failures2024-04-06T17:23Znever https://www.findknowdo.com/news/06/30/2020/nydfs-reminds-banking-institutions-additional-cra-obligations2024-02-03T23:12Znever https://www.findknowdo.com/news/06/30/2020/finra-adopt-rule-limiting-associated-persons-acting-customer-trusts2024-04-12T12:28Znever https://www.findknowdo.com/news/06/30/2020/sec-office-investor-advocate-publishes-2021-priorities2023-04-24T22:37Znever https://www.findknowdo.com/news/06/30/2020/sec-expands-small-broker-dealer-exemption-risk-assessment-reporting2022-06-18T20:01Znever https://www.findknowdo.com/news/06/30/2020/senate-committee-considers-development-u.s.-central-bank-digital-currency2022-10-01T20:29Znever https://www.findknowdo.com/news/06/30/2020/supreme-court-declines-hear-challenge-cftc-authority2024-04-06T17:23Znever https://www.findknowdo.com/news/07/02/2020/supreme-court-holds-a-generic.com-name-may-function-a-protectable-trademark2023-04-05T20:35Znever https://www.findknowdo.com/news/06/30/2020/finra-highlights-recent-cat-regulatory-coordination2024-04-12T12:28Znever https://www.findknowdo.com/news/06/30/2020/arrc-updates-libor-fallback-language-and-spread-adjustments-cash-products2022-12-03T00:52Znever https://www.findknowdo.com/news/07/01/2020/occ-highlights-risks-federal-banking-system2024-04-12T21:30Znever https://www.findknowdo.com/news/07/01/2020/second-circuit-denies-challenge-reg.-bi2022-11-16T00:58Znever https://www.findknowdo.com/news/07/01/2020/prudential-regulators-extend-phase-initial-margin-requirements-covered-swap-entities2024-04-12T21:30Znever https://www.findknowdo.com/news/07/01/2020/broker-dealer-fined-failing-retain-emails2024-04-12T12:28Znever https://www.findknowdo.com/news/07/01/2020/federal-register-sec-makes-technical-corrections-disclosure-rule-variable-annuity-and-life-insurance-contracts2026-06-20T22:35Zmonthly https://www.findknowdo.com/news/07/01/2020/fsb-urges-continuing-efforts-libor-transition2021-01-16T18:45Znever https://www.findknowdo.com/news/07/02/2020/nasaa-requests-input-proposal-create-funds-victims-securities-law-violations2024-02-04T16:22Znever https://www.findknowdo.com/news/07/06/2020/finra-provides-guidance-marketing-private-placements-retail-investors2024-04-12T12:28Znever https://www.findknowdo.com/news/07/01/2020/dol-proposes-new-exemption-investment-advice-fiduciaries2024-04-04T19:19Znever https://www.findknowdo.com/news/07/02/2020/dol-corrects-rule-implementing-electronic-disclosure-safe-harbor-employee-benefit-plans2024-04-04T19:19Znever https://www.findknowdo.com/news/07/02/2020/doj-charges-doctor-fraudulently-seeking-millions-ppp-loans2024-04-03T19:49Znever https://www.findknowdo.com/news/07/02/2020/reg.-tracker-july-1-152022-06-18T20:01Znever https://www.findknowdo.com/news/07/02/2020/biopharmaceutical-company-settles-sec-charges-fcpa-violations2024-02-05T02:44Znever https://www.findknowdo.com/news/07/02/2020/ofac-removes-entities-sdn-list-revokes-related-general-license2024-03-06T23:31Znever https://www.findknowdo.com/news/07/05/2020/department-justice-seeks-seizure-iranian-gasoil-headed-venezuela2023-04-05T20:35Znever https://www.findknowdo.com/news/07/02/2020/doj-seeks-seizure-iranian-gasoil-headed-venezuela2026-06-19T23:45Zmonthly https://www.findknowdo.com/news/07/06/2020/cfpb-proposes-exemption-establishing-escrow-accounts-certain-mortgage-loans2024-04-12T17:06Znever https://www.findknowdo.com/news/07/06/2020/finra-updates-margin-rule-interpretations2024-04-12T12:28Znever https://www.findknowdo.com/news/07/06/2020/sba-and-treasury-release-ppp-loan-data2024-04-02T19:41Znever https://www.findknowdo.com/news/07/06/2020/sifma-commends-bipartisan-introduction-local-infrastructure-act-support-municipal-refinancing2021-01-13T20:54Znever https://www.findknowdo.com/news/07/07/2020/sec-adopts-final-rule-expediting-routine-requests-exemptive-relief2022-06-18T20:19Znever https://www.findknowdo.com/news/07/07/2020/uk-fca-grants-first-multilateral-trading-facility-license-cryptocurrency-exchange2022-12-03T16:45Znever https://www.findknowdo.com/news/07/07/2020/bank-england-publish-sonia-compounded-index2022-06-18T20:19Znever https://www.findknowdo.com/news/07/07/2020/fincen-alerts-financial-institutions-pandemic-related-fraud2024-04-02T18:51Znever https://www.findknowdo.com/news/07/07/2020/gao-surveys-institutional-investors-esg-disclosures2024-01-30T19:23Znever https://www.findknowdo.com/news/07/07/2020/cfpb-ratifies-prior-regulations2024-04-12T17:06Znever https://www.findknowdo.com/news/07/08/2020/frb-vice-chair-considers-financial-stability-face-covid-192024-04-12T21:10Znever https://www.findknowdo.com/news/07/08/2020/bank-settles-nydfs-charges-compliance-failures-high-profile-case2024-02-03T23:12Znever https://www.findknowdo.com/news/07/08/2020/sec-commissioner-roisman-shares-serious-reservations-about-mandating-esg-disclosures2022-06-18T20:19Znever https://www.findknowdo.com/news/07/10/2020/broker-dealer-settles-finra-charges-violations-research-rules2024-04-12T12:28Znever https://www.findknowdo.com/news/07/08/2020/new-york-fed-vice-president-considers-impact-frb-emergency-lending-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/07/08/2020/cftc-lays-out-strategic-priorities-through-20242024-04-06T17:23Znever https://www.findknowdo.com/news/07/09/2020/arrc-provides-systems-and-processes-transition-aid-sofr-adoption2022-12-03T00:49Znever https://www.findknowdo.com/news/07/09/2020/finra-encourages-firms-report-digital-assets-related-activities2024-04-12T12:28Znever https://www.findknowdo.com/news/07/09/2020/amazon-settles-ofac-sanctions-violations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/07/09/2020/sec-officials-focus-investor-risk-emerging-markets2022-06-18T20:19Znever https://www.findknowdo.com/news/07/09/2020/federal-register-cftc-disallows-cpo-exemptions-persons-subject-statutory-disqualifications2024-04-06T17:23Znever https://www.findknowdo.com/news/07/10/2020/cftc-commissioner-stump-considers-post-dodd-frank-regulatory-framework2024-04-06T17:23Znever https://www.findknowdo.com/news/07/10/2020/federal-register-cftc-delays-initial-margin-phase-five-requirements-uncleared-derivatives2024-04-06T17:23Znever https://www.findknowdo.com/news/07/10/2020/federal-register-cftc-proposes-delay-phase-six-initial-margin-requirements2024-04-06T17:23Znever https://www.findknowdo.com/news/06/30/2020/dol-proposes-clarifying-amendments-fiduciary-investment-duties2024-04-04T19:19Znever https://www.findknowdo.com/news/07/10/2020/ftc-bureau-competition-begins-publishing-monthly-totals-hsr-act-filings2024-04-03T20:09Znever https://www.findknowdo.com/news/07/10/2020/u.s.-district-court-rejects-preemption-defense-escrow-account-interest-payments2022-06-18T20:19Znever https://www.findknowdo.com/news/07/10/2020/doj-charges-florida-company-medicare-and-ppp-fraud2024-04-03T19:49Znever https://www.findknowdo.com/news/07/13/2020/bis-finalizes-adjustments-basel-iii-cva-framework2024-02-05T17:30Znever https://www.findknowdo.com/news/07/13/2020/sec-proposes-amendments-form-13f-reporting-requirements-institutional-investment-managers2022-11-17T19:39Znever https://www.findknowdo.com/news/07/13/2020/cboe-exchanges-sanction-general-securities-principals-direct-market-access-violations2024-04-10T20:51Znever https://www.findknowdo.com/news/07/14/2020/fsb-report-looks-remaining-libor-transition-challenges2021-01-16T18:45Znever https://www.findknowdo.com/news/07/13/2020/california-app-developer-settles-sec-and-cftc-charges-improper-sales-derivatives2024-04-06T17:23Znever https://www.findknowdo.com/news/07/13/2020/cftc-deems-cpo-registration-exemptions-ineffective-17-foreign-entities2024-04-06T17:23Znever https://www.findknowdo.com/news/07/14/2020/broker-dealer-settles-finra-charges-failure-demonstrate-exemption-eligibility-quotations-otc-equity-securities2024-04-12T12:28Znever https://www.findknowdo.com/news/07/14/2020/cfpb-amends-payday-vehicle-title-and-high-cost-installment-loan-regulations2024-04-12T17:06Znever https://www.findknowdo.com/news/07/14/2020/ocie-warns-heightened-ransomware-risks2021-01-05T20:33Znever https://www.findknowdo.com/news/07/15/2020/reg.-tracker-july-16-312022-06-18T20:19Znever https://www.findknowdo.com/news/07/15/2020/fatf-updates-aml/cft-deficiencies-list2024-04-02T18:51Znever https://www.findknowdo.com/news/07/15/2020/industry-groups-comment-cftc-proposed-revamp-bankruptcy-rules2024-04-06T17:23Znever https://www.findknowdo.com/news/07/16/2020/ofac-postpones-effective-date-venezuela-general-license2024-03-06T23:31Znever https://www.findknowdo.com/news/07/15/2020/federal-register-finra-rule-extends-office-inspection-deadline2024-04-12T12:28Znever https://www.findknowdo.com/news/07/15/2020/federal-register-cftc-proposes-electronic-trading-principles2024-04-06T17:23Znever https://www.findknowdo.com/news/07/15/2020/broker-dealer-fined-failure-maintain-requirements-continuous-two-sided-trading-interest2024-04-10T22:47Znever https://www.findknowdo.com/news/07/15/2020/sec-chair-clayton-says-securities-markets-functioning-well-despite-volatility2022-06-18T20:19Znever https://www.findknowdo.com/news/07/15/2020/finra-proposes-increase-position-and-exercise-limits-conventional-options2024-04-12T12:28Znever https://www.findknowdo.com/news/07/16/2020/sec-awards-3.8-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/07/16/2020/finra-issues-sie-exam-and-exam-restructuring-faqs2024-04-12T12:28Znever https://www.findknowdo.com/news/07/16/2020/sec-staff-monitoring-group-considers-covid-19-market-impact2024-01-31T14:59Znever https://www.findknowdo.com/news/07/16/2020/sec-urges-investors-be-cautious-broadly-advertised-investment-opportunities2022-06-18T20:19Znever https://www.findknowdo.com/news/07/17/2020/ceps-ecmi-researchers-consider-role-derivatives-sustainable-finance2021-01-15T00:21Znever https://www.findknowdo.com/news/07/17/2020/federal-reserve-extends-ppp-exception-certain-loans-bank-officers-directors-and-shareholders2024-04-12T21:10Znever https://www.findknowdo.com/news/07/16/2020/nasaa-accept-electronic-mutual-fund-notice-filings2024-02-03T22:51Znever https://www.findknowdo.com/news/07/16/2020/ofac-extends-expiration-date-ukraine-related-general-licenses2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/07/16/2020/house-financial-services-committee-considers-cares-act-implementation-issues2022-06-18T20:19Znever https://www.findknowdo.com/news/07/21/2020/cftc-tac-advisory-committee-considers-presentations-cybersecurity-automated-trading-and-virtual-currencies2026-03-04T00:30Zyearly https://www.findknowdo.com/news/07/17/2020/uae-manufacturer-settles-doj-and-ofac-charges-ieepa-and-north-korea-sanctions-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/07/17/2020/cftc-dsio-extends-no-action-relief-registration-fingerprint-requirement2024-04-06T17:23Znever https://www.findknowdo.com/news/07/17/2020/finra-requests-comment-proposed-trace-reporting-and-portfolio-trade-rule-amendments2024-04-12T12:28Znever https://www.findknowdo.com/news/07/20/2020/market-maker-settles-finra-charges-otc-desk-automated-control-failures2024-04-12T12:28Znever https://www.findknowdo.com/news/07/20/2020/sec-officials-consider-diversity-and-technology-issues-asset-management-industry2021-03-20T17:01Znever https://www.findknowdo.com/news/07/20/2020/occ-proposes-rule-determine-true-lender-a-loan2024-04-12T21:30Znever https://www.findknowdo.com/news/07/20/2020/fdic-requests-input-standard-setting-and-voluntary-certification-models2024-04-12T17:58Znever https://www.findknowdo.com/news/07/21/2020/broker-dealer-settles-sec-charges-violating-retail-order-restrictions2022-06-18T20:19Znever https://www.findknowdo.com/news/07/21/2020/finra-amends-arbitration-code-apply-minimum-fees-customer-dispute-expungement-requests2024-04-12T12:27Znever https://www.findknowdo.com/news/07/21/2020/fca-and-esma-mous-become-effective-end-brexit-transition-period2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/07/21/2020/nfa-extends-relief-registration-fingerprint-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/07/21/2020/sec-commissioner-peirce-criticizes-enforcement-action-against-ico-issuer2022-11-17T19:41Znever https://www.findknowdo.com/news/08/07/2020/u.s.-senate-committee-confirms-sec-and-ncua-nominations2024-04-12T17:29Znever https://www.findknowdo.com/news/07/21/2020/president-trump-authorizes-sanctions-persons-involved-hong-kong-human-rights-abuses2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/07/22/2020/ny-title-insurance-company-charged-exposing-customer-information2024-02-03T23:12Znever https://www.findknowdo.com/news/07/22/2020/federal-register-cftc-adopts-amendment-inter-affiliate-clearing-rule2024-04-06T17:23Znever https://www.findknowdo.com/news/07/22/2020/federal-register-cfpb-proposes-exemption-establishing-escrow-accounts-hpmls2024-04-12T17:06Znever https://www.findknowdo.com/news/07/22/2020/federal-register-cfpb-amends-payday-vehicle-title-and-high-cost-installment-loan-regulations2024-04-12T17:06Znever https://www.findknowdo.com/news/07/22/2020/broker-dealer-settles-finra-charges-best-execution-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/22/2020/broker-dealer-settles-finra-charges-over-tender-shares-violations2024-04-12T12:27Znever https://www.findknowdo.com/news/07/23/2020/cftc-adopts-new-cross-border-swaps-rules2024-09-23T17:14Zyearly https://www.findknowdo.com/news/07/22/2020/cftc-adopts-swap-capital-requirements2024-04-06T17:23Znever https://www.findknowdo.com/news/07/22/2020/nasaa-examines-issues-concerning-financial-professionals-diminished-capacity2024-02-03T22:51Znever https://www.findknowdo.com/news/07/22/2020/cftc-mrac-considers-updates-sofr-and-recent-market-performance2024-04-06T17:23Znever https://www.findknowdo.com/news/07/24/2020/gao-reviews-resolution-planning-requirements-and-role-ola2024-01-30T19:23Znever https://www.findknowdo.com/news/07/22/2020/sec-finalizes-rule-amendments-governing-proxy-advisors2022-06-18T20:19Znever https://www.findknowdo.com/news/07/23/2020/broker-dealer-settles-finra-charges-oats-and-nms-reporting-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/23/2020/arrc-identifies-recommended-conventions-sofr-arrears-rates2022-06-18T20:19Znever https://www.findknowdo.com/news/07/23/2020/occ-allows-national-banks-provide-digital-asset-custody-services2024-04-12T21:30Znever https://www.findknowdo.com/news/07/23/2020/industry-groups-offer-recommendations-sec-valuation-proposal2021-01-24T01:38Znever https://www.findknowdo.com/news/07/23/2020/broker-dealer-settles-finra-charges-supervisory-and-suitability-violations2024-04-12T12:27Znever https://www.findknowdo.com/news/07/24/2020/doj-files-complaint-forfeiture-funds-used-north-korean-money-laundering-scheme2024-04-03T19:49Znever https://www.findknowdo.com/news/07/24/2020/doj-charges-tech-executive-ppp-fraud-and-money-laundering2024-04-03T19:49Znever https://www.findknowdo.com/news/07/24/2020/ny-fed-expands-eligibility-service-emergency-lending-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/07/24/2020/agencies-finalize-orderly-liquidation-rule-covered-broker-dealers2024-04-12T17:58Znever https://www.findknowdo.com/news/07/24/2020/broker-dealer-settles-finra-charges-oats-reporting-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/27/2020/broker-dealer-settles-finra-charges-private-placement-conduct-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/27/2020/cfpb-propose-rule-consumer-authorized-access-financial-data2024-04-12T17:06Znever https://www.findknowdo.com/news/07/27/2020/broker-dealer-fined-over-tendering-shares-partial-tender-offer2024-04-12T12:27Znever https://www.findknowdo.com/news/07/27/2020/sec-staff-permits-indian-company-shorten-tender-offer-period2021-01-05T17:47Znever https://www.findknowdo.com/news/07/27/2020/federal-register-sec-publishes-technical-corrections-offering-process-bdcs-and-closed-end-funds2022-06-18T20:19Znever https://www.findknowdo.com/news/07/28/2020/frb-extends-expiration-date-covid-19-related-lending-facilities2024-04-12T21:10Znever https://www.findknowdo.com/news/07/28/2020/isda-begins-publishing-monthly-data-usage-risk-free-rates2022-06-18T20:19Znever https://www.findknowdo.com/news/07/28/2020/sifma-asks-finra-allow-remote-branch-office-inspections2022-06-18T20:19Znever https://www.findknowdo.com/news/07/29/2020/finra-extends-effective-date-amendments-trace-reporting-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/07/28/2020/sec-charges-adviser-failure-disclose-conflicts-interest2020-12-15T03:49Znever https://www.findknowdo.com/news/07/28/2020/broker-dealer-settles-finra-charges-failure-follow-aml-procedures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/28/2020/sec-staff-says-firms-are-complying-form-crs-requirements2022-06-18T20:19Znever https://www.findknowdo.com/news/07/28/2020/manufacturer-settles-ofac-charges-violating-iranian-transactions-and-sanctions-regulations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/07/31/2020/reg.-tracker-august-1-152022-06-18T20:01Znever https://www.findknowdo.com/news/07/29/2020/finra-proposes-extension-temporary-relief-staff-procedural-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/07/29/2020/broker-dealer-settles-finra-charges-failure-detect-suspicious-activity-and-file-sars2024-04-12T12:27Znever https://www.findknowdo.com/news/07/29/2020/sec-creates-new-ocie-event-and-emerging-risks-examination-team2022-06-18T20:19Znever https://www.findknowdo.com/news/07/29/2020/nydfs-urges-dol-reconsider-proposed-amendment-investment-recommendations2024-02-03T23:12Znever https://www.findknowdo.com/news/07/29/2020/congress-asks-fhfa-director-pause-enterprise-regulatory-capital-rulemaking2022-10-28T12:40Znever https://www.findknowdo.com/news/07/30/2020/senate-committee-members-consider-cfpb-semi-annual-report2022-11-17T19:38Znever https://www.findknowdo.com/news/07/31/2020/finra-offers-guidance-virtual-business-entertainment2024-04-12T12:27Znever https://www.findknowdo.com/news/07/30/2020/cftc-mrac-approves-recommendations-ccp-discounting-transition2024-04-06T17:23Znever https://www.findknowdo.com/news/07/30/2020/sec-im-director-highlights-immediate-and-intermediate-initiatives2022-06-18T20:19Znever https://www.findknowdo.com/news/07/30/2020/trade-associations-tout-digitization-financial-markets2022-06-18T20:19Znever https://www.findknowdo.com/news/07/31/2020/fincen-alerts-financial-institutions-red-flags-pandemic-related-cybercrime2024-04-02T18:51Znever https://www.findknowdo.com/news/07/31/2020/broker-dealer-settles-finra-charges-direct-market-access-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/07/31/2020/finra-proposes-amendments-firm-designated-id-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/07/31/2020/federal-register-agencies-amend-volcker-rules-covered-funds-provisions2024-04-12T21:30Znever https://www.findknowdo.com/news/07/31/2020/federal-register-sec-proposes-amendments-form-reporting-requirements-institutional-investment-managers2021-01-25T01:09Znever https://www.findknowdo.com/news/07/31/2020/house-committee-members-consider-cfpb-semi-annual-report2020-12-15T03:23Znever https://www.findknowdo.com/news/07/31/2020/ofac-adds-chinese-entity-sdn-list-connection-human-rights-abuses2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/08/03/2020/broker-dealer-settles-finra-charges-supervisory-failures-involving-contingency-offerings2024-04-12T12:27Znever https://www.findknowdo.com/news/08/03/2020/pharmaceutical-company-and-former-executives-settle-sec-charges-non-gaap-reporting-failures2022-06-18T20:19Znever https://www.findknowdo.com/news/08/03/2020/fincen-issues-new-faq-cdd-requirements-covered-financial-institutions2024-04-02T18:51Znever https://www.findknowdo.com/news/08/05/2020/nymex-settles-cftc-charges-confidential-information-disclosure2024-04-06T17:23Znever https://www.findknowdo.com/news/08/03/2020/executive-order-looming-microsoft-talks-purchase-tiktok2023-06-04T13:20Znever https://www.findknowdo.com/news/08/04/2020/sec-commissioners-challenge-small-business-advisory-committee-improve-access-capital2022-06-18T20:19Znever https://www.findknowdo.com/news/08/04/2020/sec-provides-temporary-process-submitting-confidential-information2021-01-05T17:47Znever https://www.findknowdo.com/news/08/04/2020/ffiec-encourages-financial-institutions-support-borrowers-loan-accommodations-near-end2024-04-12T21:30Znever https://www.findknowdo.com/news/08/04/2020/fia-highlights-pandemic-response-efforts2023-06-13T16:22Znever https://www.findknowdo.com/news/08/05/2020/federal-register-finra-proposes-temporary-relief-finra-staff-certain-procedural-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/08/05/2020/investment-advisers-settle-sec-charges-brokerage-fee-misrepresentations2021-01-06T23:09Znever https://www.findknowdo.com/news/08/05/2020/sec-proposes-amendments-mutual-fund-and-etf-disclosure-framework2022-06-18T20:19Znever https://www.findknowdo.com/news/08/05/2020/sec-enforcement-co-director-peiken-leaving-sec2022-06-18T20:19Znever https://www.findknowdo.com/news/08/06/2020/federal-register-finra-proposes-amendments-firm-designated-id-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/08/07/2020/sec-changes-process-choosing-members-iac2022-06-18T20:19Znever https://www.findknowdo.com/news/08/06/2020/sec-names-new-chief-accountant-division-corporation-finance2022-06-18T20:19Znever https://www.findknowdo.com/news/08/06/2020/finra-reminds-broker-dealers-prepare-libor-transition2024-04-12T12:27Znever https://www.findknowdo.com/news/08/06/2020/consumer-loan-company-settles-sec-charges-fcpa-violations2024-02-05T02:44Znever https://www.findknowdo.com/news/08/07/2020/msrb-amends-board-governance-process2024-04-12T00:18Znever https://www.findknowdo.com/news/08/07/2020/ninth-circuit-reverses-and-remands-district-court-decision-remedies2022-11-16T00:58Znever https://www.findknowdo.com/news/08/07/2020/president-issues-executive-orders-against-chinese-social-media-companies-ofac-sanctions-hong-kong-leader2024-03-06T23:31Znever https://www.findknowdo.com/news/08/10/2020/cboe-imposes-sanctions-broker-dealer-trading-undisclosed-information2024-04-10T20:51Znever https://www.findknowdo.com/news/08/11/2020/nasaa-opposes-dol-proposed-exemption-investment-advice-fiduciaries2024-02-03T22:51Znever https://www.findknowdo.com/news/08/10/2020/arrc-offers-sofr-starter-kit2022-06-18T20:19Znever https://www.findknowdo.com/news/08/10/2020/broker-dealer-settles-finra-charges-registration-inspection-and-net-capital-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/08/10/2020/finra-elects-small-and-large-firm-board-governors2024-04-12T12:27Znever https://www.findknowdo.com/news/08/10/2020/dual-registrant-pay-over-38-million-aml-failures2024-04-12T12:27Znever https://www.findknowdo.com/news/08/12/2020/frb-approves-large-bank-capital-requirements2024-04-12T21:10Znever https://www.findknowdo.com/news/08/11/2020/pwg-addresses-chinese-non-compliance-u.s.-audit-standards2024-02-05T02:44Znever https://www.findknowdo.com/news/08/11/2020/iosco-considers-role-liquidity-providers-equity-securities-market2021-01-16T19:11Znever https://www.findknowdo.com/news/08/11/2020/ofac-issues-guidance-sudan-transactions-and-darfur-sanctions2026-06-20T13:21Zmonthly https://www.findknowdo.com/news/08/12/2020/sec-names-new-deputy-director-oasb2020-12-23T23:21Znever https://www.findknowdo.com/news/08/12/2020/finra-proposes-elimination-oats-rules-transition-cat2024-04-12T12:27Znever https://www.findknowdo.com/news/08/12/2020/sec-deputy-chief-accountant-step-down2022-06-18T20:19Znever https://www.findknowdo.com/news/08/12/2020/ocie-issues-risk-alert-covid-19-compliance-risks-and-practices2021-01-05T20:33Znever https://www.findknowdo.com/news/08/13/2020/finra-warns-members-imposter-website2024-04-12T12:27Znever https://www.findknowdo.com/news/08/13/2020/broker-dealer-fined-supervisory-failures-trade-recommendations2024-04-12T12:27Znever https://www.findknowdo.com/news/08/13/2020/gao-recommends-improvements-fincens-geographic-targeting-orders2024-01-30T19:23Znever https://www.findknowdo.com/news/08/13/2020/industry-associations-support-registration-exemption-foreign-cpos2024-04-06T17:23Znever https://www.findknowdo.com/news/08/13/2020/fed-governor-brainard-describes-frb-approach-digital-currency2024-04-12T21:10Znever https://www.findknowdo.com/news/08/14/2020/broker-dealer-settles-finra-charges-trade-reporting-violations2024-04-12T12:27Znever https://www.findknowdo.com/news/08/14/2020/banking-agencies-explain-policy-bsa/aml-cease-and-desist-orders2024-04-12T21:30Znever https://www.findknowdo.com/news/08/14/2020/ceo-settles-sec-charges-aiding-and-abetting-disclosure-failures2020-12-15T03:22Znever https://www.findknowdo.com/news/08/14/2020/president-trump-nominates-replacement-cftc-commissioner-brian-d.-quintenz2024-04-06T17:23Znever https://www.findknowdo.com/news/08/14/2020/cftc-proposes-amendments-uncleared-swap-margin-rules2024-04-06T17:23Znever https://www.findknowdo.com/news/08/14/2020/investment-adviser-settles-sec-charges-brokerage-fee-disclosure-failures2022-01-03T01:29Znever https://www.findknowdo.com/news/08/14/2020/reg.-tracker-august-16-august-312022-06-18T20:19Znever https://www.findknowdo.com/news/08/17/2020/president-trump-orders-tiktok-parent-company-divest-u.s.-assets2021-07-28T18:56Znever https://www.findknowdo.com/news/08/17/2020/finra-updates-security-futures-risk-disclosure-statement2024-04-12T12:27Znever https://www.findknowdo.com/news/08/17/2020/broker-dealer-settles-charges-failing-detect-insider-trading2024-04-12T12:27Znever https://www.findknowdo.com/news/08/17/2020/sec-swears-caroline-crenshaw-and-hester-peirce-commissioners2020-12-23T23:22Znever https://www.findknowdo.com/news/08/18/2020/finra-requests-comment-pennying-practice-corporate-bond-market2024-04-12T12:27Znever https://www.findknowdo.com/news/08/18/2020/sec-updates-operating-status-during-covid-192020-12-15T04:45Znever https://www.findknowdo.com/news/08/18/2020/sec-appoints-deputy-chief-accountant2020-12-23T23:22Znever https://www.findknowdo.com/news/08/18/2020/fincen-explains-bsa-enforcement-policy2024-04-02T18:51Znever https://www.findknowdo.com/news/08/19/2020/sifma-seeks-vacate-muni-advisor-bd-exemption2021-01-13T20:58Znever https://www.findknowdo.com/news/08/19/2020/cfpb-proposes-new-category-qualified-mortgages2024-04-12T17:06Znever https://www.findknowdo.com/news/08/19/2020/arrc-provides-transition-guidance-adjustable-rate-mortgages-and-private-student-loans2022-12-03T00:52Znever https://www.findknowdo.com/news/08/19/2020/swap-dealer-fined-spoofing-and-business-conduct-related-violations2024-04-06T17:23Znever https://www.findknowdo.com/news/08/19/2020/sec-names-new-deputy-director-enforcement2020-12-23T23:21Znever https://www.findknowdo.com/news/08/20/2020/sec-requires-prior-approval-sro-fee-increases2020-12-04T22:39Znever https://www.findknowdo.com/news/08/20/2020/arrc-updates-libor-transition-best-practices-fallback-protocol2021-01-16T17:28Znever https://www.findknowdo.com/news/08/20/2020/finra-warns-members-imposter-websites2024-04-12T12:27Znever https://www.findknowdo.com/news/08/21/2020/nfa-oks-fincen-cdd-faq2024-04-05T19:34Znever https://www.findknowdo.com/news/08/21/2020/bank-settles-cfpb-charges-improper-sales-practices-concerning-overdraft-protection-services2024-04-12T17:06Znever https://www.findknowdo.com/news/08/21/2020/fcm-settles-cftc-charges-net-capital-rule-violations2024-04-06T17:22Znever https://www.findknowdo.com/news/08/24/2020/sec-proposes-data-security-amendments-cat-nms-plan2024-01-31T19:31Znever https://www.findknowdo.com/news/08/24/2020/sec-proposes-amendments-strengthen-edgar-administration2020-12-03T05:07Znever https://www.findknowdo.com/news/08/24/2020/agencies-clarify-cdd-requirements-politically-exposed-persons2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/08/24/2020/mortgage-lender-settles-cfpb-charges-deceptive-advertising2024-04-12T17:06Znever https://www.findknowdo.com/news/08/25/2020/occ-authorizes-closure-banks-along-u.s.-gulf-coast2024-04-12T21:30Znever https://www.findknowdo.com/news/08/25/2020/global-it-company-settles-sec-charges-accounting-violations2022-12-03T00:35Znever https://www.findknowdo.com/news/08/25/2020/sec-approves-registered-sale-securities-represented-digital-tokens2022-07-02T22:30Znever https://www.findknowdo.com/news/08/26/2020/sec-expands-definitions-accredited-investor-and-qualified-institutional-buyer2024-09-23T17:14Zyearly https://www.findknowdo.com/news/08/26/2020/sec-adopts-amendments-public-company-reporting-requirements2020-12-23T01:40Znever https://www.findknowdo.com/news/08/26/2020/sec-provides-limited-exemptive-relief-reg.-sho-requirements-due-covid-192020-12-15T06:28Znever https://www.findknowdo.com/news/08/27/2020/company-settles-sec-charges-material-misrepresentations-financial-statements2022-12-03T00:35Znever https://www.findknowdo.com/news/08/27/2020/sec-commissioner-peirce-promotes-corporate-focus-maximizing-value2022-06-18T20:19Znever https://www.findknowdo.com/news/08/27/2020/summertime-songs2024-02-04T04:10Znever https://www.findknowdo.com/news/08/28/2020/doj-files-complaint-alleging-north-korean-cyber-actors-stole-millions-cryptocurrency2024-04-03T19:49Znever https://www.findknowdo.com/news/08/28/2020/california-company-settles-charges-foreign-corrupt-practices-act-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/08/28/2020/arrc-issues-updated-fallback-language-libor-denominated-bilateral-business-loans2022-06-18T20:19Znever https://www.findknowdo.com/news/08/28/2020/cftc-staff-extends-clearing-relief-european-stability-mechanism2024-04-06T17:22Znever https://www.findknowdo.com/news/08/28/2020/finra-extends-deadlines-completion-qualifying-examination2024-04-12T12:27Znever https://www.findknowdo.com/news/08/31/2020/reg.-tracker-september-1-september-152021-01-06T15:34Znever https://www.findknowdo.com/news/08/31/2020/federal-register-agencies-finalize-orderly-liquidation-rule-covered-broker-dealers2024-04-12T17:58Znever https://www.findknowdo.com/news/08/31/2020/finra-outlines-supervisory-responsibilities-cat-compliance2024-04-12T12:27Znever https://www.findknowdo.com/news/08/31/2020/cftc-staff-provides-additional-libor-transition-relief2024-04-06T17:22Znever https://www.findknowdo.com/news/09/01/2020/finra-proposes-temporary-rule-amendments-allow-virtual-hearings2024-04-12T12:27Znever https://www.findknowdo.com/news/09/01/2020/money-transfer-companies-settle-cfpb-charges-remittance-transfer-violations2024-04-12T17:06Znever https://www.findknowdo.com/news/09/01/2020/fia-highlights-role-derivatives-sustainability-efforts2021-01-13T19:23Znever https://www.findknowdo.com/news/09/02/2020/dol-proposes-rule-clarifying-plan-fiduciaries-proxy-voting-obligations2024-04-04T19:19Znever https://www.findknowdo.com/news/09/02/2020/agencies-issue-statement-institutions-impacted-severe-weather2024-04-12T21:30Znever https://www.findknowdo.com/news/09/02/2020/sec-awards-2.5-million-joint-whistleblowers2024-01-30T02:46Znever https://www.findknowdo.com/news/09/02/2020/two-mortgage-brokers-settle-cfpb-charges-deceptive-advertising2024-04-12T17:06Znever https://www.findknowdo.com/news/09/03/2020/federal-register-sec-finalizes-rule-amendments-governing-proxy-advisors2020-12-15T06:53Znever https://www.findknowdo.com/news/09/03/2020/nydfs-urges-occ-withdraw-true-lender-rule-proposal2024-04-12T21:30Znever https://www.findknowdo.com/news/09/03/2020/doj-updates-merger-remedies-manual2024-04-03T19:49Znever https://www.findknowdo.com/news/09/04/2020/doj-and-sec-charge-fund-manager-fraud-connection-retailer-bankruptcy2024-04-03T19:49Znever https://www.findknowdo.com/news/09/04/2020/federal-register-dol-proposes-rule-clarifying-plan-fiduciaries-proxy-voting-obligations2024-04-04T19:19Znever https://www.findknowdo.com/news/09/04/2020/broker-dealer-settles-finra-charges-order-flow-disclosure-violations2024-04-12T12:27Znever https://www.findknowdo.com/news/09/08/2020/investor-rights-groups-urge-reopening-comment-period-sec-amendments-shareholder-proposal-rule2021-01-13T19:45Znever https://www.findknowdo.com/news/09/08/2020/gao-recommends-enhancements-fdic-risk-supervision2024-01-30T19:23Znever https://www.findknowdo.com/news/09/09/2020/cftc-advisory-committee-recommends-regulatory-actions-address-climate-risk2024-04-06T17:22Znever https://www.findknowdo.com/news/09/09/2020/cfpb-charges-debt-collectors-violations-federal-consumer-finance-law2024-04-12T17:06Znever https://www.findknowdo.com/news/09/09/2020/sec-amends-guidance-companies-expiring-confidential-treatment-orders2021-01-05T17:47Znever https://www.findknowdo.com/news/09/10/2020/fia-offers-guidelines-mar-surveillance-requirements2022-11-21T13:03Znever https://www.findknowdo.com/news/09/10/2020/cftc-division-enforcement-provides-staff-guidance-evaluating-compliance-programs2024-04-06T17:22Znever https://www.findknowdo.com/news/09/11/2020/arrc-updates-swaption-recommendations2022-12-03T00:52Znever https://www.findknowdo.com/news/09/11/2020/sec-updates-statistical-disclosure-requirements-banking-registrants2020-12-15T03:56Znever https://www.findknowdo.com/news/09/11/2020/doj-charges-north-korean-and-malaysian-nationals-sanctions-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/09/11/2020/financial-institution-settles-ofac-charges-ukraine-sanctions-violations2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/11/2020/finra-study-considers-relationship-between-overconfidence-and-financial-literacy2024-04-12T12:27Znever https://www.findknowdo.com/news/09/14/2020/fincen-adopts-proposal-expand-cip-and-aml-requirements2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/09/14/2020/federal-register-cftc-adopts-new-cross-border-rules-sds-and-msps2024-04-06T17:22Znever https://www.findknowdo.com/news/09/14/2020/sec-charges-celebrities-participation-fraudulent-icos2022-07-02T22:30Znever https://www.findknowdo.com/news/09/15/2020/cftc-staff-extends-covid-19-related-no-action-relief-sefs-and-dcms2024-04-06T17:22Znever https://www.findknowdo.com/news/09/14/2020/omb-provides-guidance-enforcement-section-covid-19-related-executive-order2020-12-15T06:46Znever https://www.findknowdo.com/news/09/15/2020/reg.-tracker-september-16-september-302021-01-06T15:34Znever https://www.findknowdo.com/news/09/15/2020/federal-register-sec-adopts-rule-expediting-routine-requests-exemptive-relief2021-06-15T17:02Znever https://www.findknowdo.com/news/09/15/2020/federal-register-cftc-adopts-capital-liquidity-and-related-requirements-swap-dealers2024-04-06T17:22Znever https://www.findknowdo.com/news/09/17/2020/cftc-staff-revises-margin-treatment-separate-accounts2024-04-06T17:22Znever https://www.findknowdo.com/news/09/15/2020/cftc-dsio-grants-relief-capital-treatment-dtls-fcms2024-04-06T17:22Znever https://www.findknowdo.com/news/09/15/2020/assistant-attorney-general-describes-new-madison-approach-antitrust-and-intellectual-property-law2024-04-03T19:49Znever https://www.findknowdo.com/news/09/16/2020/nfa-extends-covid-19-recordkeeping-relief2024-04-05T19:34Znever https://www.findknowdo.com/news/09/16/2020/sec-reports-its-small-business-forum2021-01-24T05:24Znever https://www.findknowdo.com/news/09/16/2020/ocie-warns-credential-stuffing2023-06-04T12:49Znever https://www.findknowdo.com/news/09/16/2020/cftc-staff-grants-relief-dormant-sef2024-04-06T17:22Znever https://www.findknowdo.com/news/09/17/2020/federal-register-sec-proposes-amendments-strengthen-edgar-administration2020-12-14T16:26Znever https://www.findknowdo.com/news/09/17/2020/fincen-solicits-comment-enhancing-aml-programs2024-04-02T18:51Znever https://www.findknowdo.com/news/09/17/2020/fasb-seeks-comment-proposed-changes-2021-sec-reporting-taxonomy2024-04-09T14:54Znever https://www.findknowdo.com/news/09/17/2020/sec-adopts-additional-requirements-publish-quotations-otc-securities2020-12-16T21:54Znever https://www.findknowdo.com/news/09/18/2020/cftc-finalizes-swap-reporting-overhaul2024-04-06T16:26Znever https://www.findknowdo.com/news/09/17/2020/cftc-adopts-final-swap-data-reporting-amendments2024-04-06T16:26Znever https://www.findknowdo.com/news/09/18/2020/cftc-supplements-bankruptcy-proposal2024-04-06T16:26Znever https://www.findknowdo.com/news/09/18/2020/finra-proposes-amendments-timestamp-trade-reporting-requirements2024-04-12T12:27Znever https://www.findknowdo.com/news/09/18/2020/cftc-adopts-alternative-compliance-mechanism-non-u.s.-dcos2024-04-06T16:26Znever https://www.findknowdo.com/news/09/22/2020/iosco-adopts-guidance-conflicts-interest-debt-capital-markets-transactions2021-01-16T19:11Znever https://www.findknowdo.com/news/09/21/2020/federal-register-ftc-seeks-comment-proposed-fcra-rule-changes2024-04-03T20:09Znever https://www.findknowdo.com/news/09/21/2020/federal-register-technical-corrections-updated-calculation-derivative-contract-exposure-amounts2024-04-12T21:30Znever https://www.findknowdo.com/news/09/21/2020/telecommunications-company-settles-ofac-charges-apparent-violations-sudanese-sanctions2026-06-20T13:21Zmonthly https://www.findknowdo.com/news/09/21/2020/broker-dealer-settles-charges-failure-supervise-trades-non-traditional-etps2024-04-12T12:27Znever https://www.findknowdo.com/news/09/21/2020/cftc-chair-and-european-commission-evp-commend-refreshing-efforts-clearing-framework2024-04-06T16:26Znever https://www.findknowdo.com/news/09/22/2020/federal-register-cftc-proposes-amendments-uncleared-swap-margin-rules2024-04-06T16:26Znever https://www.findknowdo.com/news/09/22/2020/cfpb-extends-comment-deadline-new-category-qualified-mortgages-proposal2024-04-12T17:06Znever https://www.findknowdo.com/news/09/22/2020/ftc-proposes-changes-hart-scott-rodino-requirements2024-04-03T20:09Znever https://www.findknowdo.com/news/09/22/2020/finra-executive-vice-president-step-down2024-04-12T12:27Znever https://www.findknowdo.com/news/09/22/2020/doj-and-sec-charge-senior-index-manager-insider-trading2024-04-03T19:49Znever https://www.findknowdo.com/news/09/22/2020/frb-seeks-input-modernizing-community-reinvestment-act2024-04-12T21:30Znever https://www.findknowdo.com/news/09/22/2020/sec-chair-jay-clayton-highlights-enforcement-program-success2020-10-17T23:42Znever https://www.findknowdo.com/news/09/22/2020/occ-concludes-national-banks-have-authority-hold-stablecoin-reserves2024-04-12T21:30Znever https://www.findknowdo.com/news/09/23/2020/finra-foundation-researchers-find-correlations-between-financial-confidence-and-cognitive-health2024-04-12T12:27Znever https://www.findknowdo.com/news/09/24/2020/isda-outlines-timetable-ibor-fallbacks-protocol-and-supplement2021-01-15T00:20Znever https://www.findknowdo.com/news/09/23/2020/finra-proposes-amendments-codes-arbitration2024-04-12T12:27Znever https://www.findknowdo.com/news/09/23/2020/finra-seeks-comment-procedures-address-qualification-exam-misconduct2024-04-12T12:27Znever https://www.findknowdo.com/news/09/23/2020/sec-director-stephanie-avakian-highlights-record-enforcement2020-12-15T06:38Znever https://www.findknowdo.com/news/09/23/2020/sec-adopts-amendments-shareholder-proposal-rule2020-12-15T05:07Znever https://www.findknowdo.com/news/09/24/2020/federal-register-cftc-supplements-bankruptcy-proposal2024-04-06T16:26Znever https://www.findknowdo.com/news/09/24/2020/financial-associations-urge-sec-modernize-regulatory-communications2021-01-13T20:10Znever https://www.findknowdo.com/news/09/24/2020/ofac-adds-new-prohibitions-cuban-assets-control-regulations2024-03-06T23:31Znever https://www.findknowdo.com/news/09/24/2020/new-executive-order-imposes-further-sanctions-iran2021-04-11T22:32Znever https://www.findknowdo.com/news/09/25/2020/finra-proposes-shutting-down-otc-bulletin-board-service2024-05-08T19:57Znever https://www.findknowdo.com/news/09/25/2020/cftc-and-thirty-states-bring-precious-metals-fraud-action2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/09/25/2020/fcm-and-ibs-settle-cftc-charges-net-capital-deficiencies2024-04-06T16:26Znever https://www.findknowdo.com/news/09/25/2020/executives-settle-sec-insider-trading-charges-two-time-penalties2020-12-15T06:42Znever https://www.findknowdo.com/news/09/25/2020/manufacturer-settles-ofac-charges-violations-iran-sanctions2024-03-06T23:31Znever https://www.findknowdo.com/news/09/28/2020/fsoc-review-proposed-regulatory-framework-secondary-mortgage-market2024-04-12T21:30Znever https://www.findknowdo.com/news/09/28/2020/ofac-extends-authorization-wind-down-transactions-certain-chinese-entities2026-06-20T14:21Zmonthly https://www.findknowdo.com/news/09/28/2020/gaming-company-settles-sec-charges-sales-unregistered-tokens2022-07-02T22:30Znever https://www.findknowdo.com/news/09/29/2020/sec-commissioner-peirce-cautions-against-prescriptive-approach-esg2020-12-23T01:39Znever https://www.findknowdo.com/news/09/30/2020/sec-proposes-regulation-government-securities-atss2022-11-17T19:58Znever https://www.findknowdo.com/news/09/30/2020/cftc-extends-no-action-relief-ocr-reporting-obligations2024-04-06T16:26Znever https://www.findknowdo.com/news/09/29/2020/esma-recognize-three-uk-ccps2026-01-25T16:03Zyearly https://www.findknowdo.com/news/09/29/2020/investment-bank-settles-sec-and-cftc-charges-spoofing2024-04-06T16:26Znever https://www.findknowdo.com/news/09/30/2020/two-public-companies-settle-sec-charges-eps-disclosure-violations2020-12-15T06:52Znever https://www.findknowdo.com/news/09/30/2020/reg.-tracker-october-1-october-152021-01-06T15:34Znever https://www.findknowdo.com/news/09/30/2020/regulators-adopt-final-rule-deferring-real-estate-appraisal-requirements2024-04-12T21:30Znever https://www.findknowdo.com/news/09/30/2020/ofac-adds-syrian-entities-sdn-list2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/09/30/2020/automobile-company-settles-sec-charges-misleading-disclosures2020-12-15T05:52Znever https://www.findknowdo.com/news/09/30/2020/fincen-director-recaps-agency-response-covid-192024-04-02T18:51Znever https://www.findknowdo.com/news/10/05/2020/frb-proposes-amendments-capital-planning-requirements2024-04-12T20:17Znever https://www.findknowdo.com/news/10/01/2020/ofac-adopts-regulations-allowing-sanctions-against-icc2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/10/01/2020/fcm-settles-cftc-charges-failing-supervise-ib2024-04-06T16:26Znever https://www.findknowdo.com/news/10/01/2020/private-fund-settles-cftc-spoofing-charge2024-04-06T16:26Znever https://www.findknowdo.com/news/10/01/2020/technology-company-settles-sec-charges-disclosure-violations2021-01-06T23:08Znever https://www.findknowdo.com/news/10/05/2020/doj-completes-review-isda-ibor-fallbacks2024-04-03T19:49Znever https://www.findknowdo.com/news/10/02/2020/cftc-requests-nominations-new-agricultural-advisory-subcommittee2024-04-06T16:26Znever https://www.findknowdo.com/news/10/02/2020/broker-dealer-settles-sec-charges-short-sale-order-marking-violations2020-12-15T06:37Znever https://www.findknowdo.com/news/10/02/2020/cftc-charges-crypto-derivatives-platform-trading-and-aml-violations2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/10/02/2020/nfa-provides-relief-site-inspection-requirement2024-04-05T19:34Znever https://www.findknowdo.com/news/10/02/2020/fincen-and-ofac-warn-increased-ransomware-risk2024-04-02T18:51Znever https://www.findknowdo.com/news/10/03/2020/trust-company-settles-sec-charges-registration-failures2021-01-24T04:32Znever https://www.findknowdo.com/news/10/05/2020/isda-considers-further-alignment-between-derivatives-and-securities-finance-markets2021-01-15T00:20Znever https://www.findknowdo.com/news/10/05/2020/finra-proposes-fee-increases2024-04-12T12:26Znever https://www.findknowdo.com/news/10/05/2020/house-financial-services-committee-chair-urges-sec-rescind-proposed-reporting-amendments2022-06-18T20:30Znever https://www.findknowdo.com/news/10/05/2020/u.s.-travel-company-settles-ofac-charges-cuba-sanctions-violations2024-03-06T23:31Znever https://www.findknowdo.com/news/10/05/2020/cftc-commissioner-offers-recommendations-address-climate-related-financial-risk2024-04-06T16:26Znever https://www.findknowdo.com/news/10/06/2020/sec-chair-clayton-highlights-fimsac-regulatory-recommendations2020-12-15T05:55Znever https://www.findknowdo.com/news/10/06/2020/federal-register-msrb-proposes-updates-laws-reflect-recent-action-board-governance2024-04-12T00:18Znever https://www.findknowdo.com/news/10/06/2020/nydfs-superintendent-highlights-efforts-climate-change2024-02-03T23:12Znever https://www.findknowdo.com/news/10/07/2020/sec-charges-cybersecurity-entrepreneur-fraudulently-touting-icos2021-03-20T16:46Znever https://www.findknowdo.com/news/10/06/2020/sec-reports-u.s.-credit-market-performance-light-covid-19-pandemic2024-01-30T02:53Znever https://www.findknowdo.com/news/10/07/2020/finra-proposes-longer-hold-periods-combat-suspected-financial-exploitation-seniors2024-04-12T12:26Znever https://www.findknowdo.com/news/10/07/2020/cftc-enforcement-director-moves2024-04-06T16:26Znever https://www.findknowdo.com/news/10/07/2020/nfa-amends-code-arbitration-and-member-arbitration-rules2024-04-05T19:34Znever https://www.findknowdo.com/news/10/07/2020/fincen-provides-relief-fbar-filers-impacted-natural-disasters2024-04-02T18:51Znever https://www.findknowdo.com/news/10/07/2020/sec-staff-reports-safety-clearing-agencies2024-01-31T02:33Znever https://www.findknowdo.com/news/10/07/2020/nfa-reminds-registrants-expiration-relief-fingerprinting-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/10/07/2020/cftc-amends-cpo-reporting-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/10/08/2020/ofac-authorizes-certain-transactions-involving-petroleos-de-venezuela-bond2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/08/2020/bank-settles-frb-and-occ-charges-risk-management-deficiencies2024-04-12T21:29Znever https://www.findknowdo.com/news/10/08/2020/fca-prohibits-retail-sale-cryptoderivatives2022-12-03T16:44Znever https://www.findknowdo.com/news/10/08/2020/nasaa-requests-comment-amendment-proposed-continuing-education-model-rule-iars2024-02-03T22:51Znever https://www.findknowdo.com/news/10/09/2020/sec-updates-regulatory-framework-fund-funds-arrangements2021-11-07T20:04Znever https://www.findknowdo.com/news/10/09/2020/bank-settles-occ-charges-vendor-management-control-deficiencies2024-04-12T21:29Znever https://www.findknowdo.com/news/10/09/2020/sec-proposes-exemption-broker-dealer-registration-small-finders2022-11-21T16:23Znever https://www.findknowdo.com/news/10/09/2020/bank-japan-conduct-experiments-central-bank-digital-currency2022-11-15T02:58Znever https://www.findknowdo.com/news/10/09/2020/federal-register-sec-expands-definitions-accredited-investor-and-qualified-institutional-buyer2022-11-21T16:23Znever https://www.findknowdo.com/news/10/12/2020/u.s.-attorney-general-cyber-task-force-describes-cryptocurrency-enforcement-framework2024-04-03T19:49Znever https://www.findknowdo.com/news/10/09/2020/isda-sets-ibor-fallbacks-supplement-and-protocol-launch-date2022-11-21T16:23Znever https://www.findknowdo.com/news/10/09/2020/firm-settles-finra-charges-msrb-reporting-violations2024-04-12T12:26Znever https://www.findknowdo.com/news/10/09/2020/sec-issues-new-faq-reporting-disciplinary-history-form-crs2022-11-21T16:23Znever https://www.findknowdo.com/news/10/12/2020/federal-register-federal-reserve-board-fdic-and-occ-modify-community-bank-leverage-ratio2024-04-12T21:29Znever https://www.findknowdo.com/news/10/12/2020/cftc-extends-no-action-relief-package-transactions2024-04-06T16:26Znever https://www.findknowdo.com/news/10/13/2020/treasury-sanctions-iranian-financial-sector2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/10/12/2020/sec-commissioner-roisman-cautions-against-regulation-enforcement2022-11-21T16:23Znever https://www.findknowdo.com/news/10/12/2020/federal-agencies-exempt-banks-cip-rules-certain-loans2026-06-19T17:40Zmonthly https://www.findknowdo.com/news/10/12/2020/finra-proposes-pilot-period-extension-connection-market-wide-circuit-breakers-nms-stocks2024-04-12T12:26Znever https://www.findknowdo.com/news/10/13/2020/fincen-alerts-financial-institutions-indicators-unemployment-insurance-fraud2024-04-02T18:51Znever https://www.findknowdo.com/news/10/13/2020/sec-commissioner-lee-advocates-public-markets2022-06-18T20:30Znever https://www.findknowdo.com/news/10/13/2020/fsb-reports-use-supervisory-and-regulatory-technology2021-01-16T18:45Znever https://www.findknowdo.com/news/10/14/2020/sec-names-directors-disclosure-review-program2022-11-21T16:23Znever https://www.findknowdo.com/news/10/14/2020/researchers-find-investor-risk-tolerance-levels-unchanged-despite-market-volatility2024-04-12T12:26Znever https://www.findknowdo.com/news/10/14/2020/auto-financing-company-settles-cfpb-charges-wrongful-repossession-practices2024-04-12T17:05Znever https://www.findknowdo.com/news/10/14/2020/cftc-provides-reporting-relief-relating-ccp-discounting-shift2024-04-06T16:26Znever https://www.findknowdo.com/news/10/14/2020/chinese-city-issues-digital-currency-pilot-program2024-02-05T02:44Znever https://www.findknowdo.com/news/10/16/2020/doj-describes-recent-antitrust-enforcement-financial-services2024-04-03T19:49Znever https://www.findknowdo.com/news/10/15/2020/reg.-tracker-october-16-october-312021-01-06T15:34Znever https://www.findknowdo.com/news/10/15/2020/nydfs-recommends-regulation-giant-social-media-companies2024-02-03T23:12Znever https://www.findknowdo.com/news/10/15/2020/federal-register-sec-requires-prior-approval-sro-fee-increases2020-12-14T18:55Znever https://www.findknowdo.com/news/10/15/2020/brazilian-meat-producers-settle-sec-and-doj-fcpa-charges2024-04-03T19:49Znever https://www.findknowdo.com/news/10/15/2020/finra-considers-applying-its-rules-security-based-swaps2024-04-12T12:26Znever https://www.findknowdo.com/news/10/15/2020/ofac-issues-guidance-following-state-department-report-hong-kong-sanctions2024-03-06T23:31Znever https://www.findknowdo.com/news/10/15/2020/cftc-finalizes-rules-position-limits-phase-vi-margin-requirements-and-foreign-cpo-exemption2024-04-06T16:26Znever https://www.findknowdo.com/news/10/16/2020/federal-register-sec-updates-statistical-disclosure-requirements-banking-registrants2021-01-29T19:49Znever https://www.findknowdo.com/news/10/16/2020/federal-register-regulators-adopt-final-rule-deferring-real-estate-appraisal-requirements2024-04-12T21:29Znever https://www.findknowdo.com/news/10/16/2020/issuer-settles-sec-charges-improper-stock-buyback2022-06-18T20:30Znever https://www.findknowdo.com/news/10/16/2020/frb-vice-chair-supervision-describes-dash-cash-after-covid-192024-04-12T20:17Znever https://www.findknowdo.com/news/10/16/2020/fincen-supplements-guidance-human-trafficking2026-06-19T16:59Zmonthly https://www.findknowdo.com/news/10/16/2020/sec-updates-auditor-independence-framework2022-12-03T00:35Znever https://www.findknowdo.com/news/10/16/2020/cftc-delays-compliance-date-phase-six-initial-margin-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/10/16/2020/cftc-adopts-new-position-limits-physical-commodity-derivatives2024-04-06T16:26Znever https://www.findknowdo.com/news/10/16/2020/debt-collection-servicers-settle-cfpb-charges-improper-practices2024-04-12T17:05Znever https://www.findknowdo.com/news/10/16/2020/cftc-amends-cpo-exemption-facilitate-cross-border-activity2024-04-06T16:26Znever https://www.findknowdo.com/news/10/19/2020/federal-register-frb-seeks-input-modernizing-community-reinvestment-act2024-04-12T20:17Znever https://www.findknowdo.com/news/10/19/2020/finra-proposes-further-extension-pilot-program-clearly-erroneous-transactions2024-04-12T12:26Znever https://www.findknowdo.com/news/10/19/2020/fdic-promotes-investment-partnerships-mission-driven-banks2024-04-12T17:58Znever https://www.findknowdo.com/news/10/19/2020/broker-dealer-and-representative-settle-finra-charges-inaccurate-expense-reporting2024-04-12T12:26Znever https://www.findknowdo.com/news/10/19/2020/sec-commissioner-peirce-urges-sec-reconsider-meaning-terms-facility-and-exchange2020-12-04T22:39Znever https://www.findknowdo.com/news/10/21/2020/bitcoin-mixer-operator-penalized-fincen-aml-violations2024-04-03T19:49Znever https://www.findknowdo.com/news/10/20/2020/finra-includes-customers-age-and-health-considerations-sanctions-guidelines2024-04-12T12:26Znever https://www.findknowdo.com/news/10/20/2020/multinational-holding-company-settles-ofac-charges-iranian-sanctions-violations2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/10/20/2020/fsb-provides-timeline-firms-transition-libor2022-06-18T20:30Znever https://www.findknowdo.com/news/10/20/2020/cftc-and-bank-england-enter-agreement-clearing-supervision2024-04-06T16:26Znever https://www.findknowdo.com/news/10/20/2020/frb-vice-chair-supervision-describes-nbfi-vulnerabilities2024-04-12T20:17Znever https://www.findknowdo.com/news/10/21/2020/frb-governor-brainard-discusses-consequences-covid-19-housing-and-inclusive-recovery2024-04-12T20:17Znever https://www.findknowdo.com/news/10/21/2020/federal-register-cftc-adopts-alternative-compliance-mechanism-non-u.s.-dcos2024-04-06T16:26Znever https://www.findknowdo.com/news/10/21/2020/banking-agencies-discourage-interconnectedness-large-banks2024-04-12T21:29Znever https://www.findknowdo.com/news/10/21/2020/broker-dealer-settles-finra-charges-inaccurate-expense-reporting2024-04-12T12:26Znever https://www.findknowdo.com/news/10/22/2020/sec-and-cftc-adopt-reduced-margin-requirements-security-futures2024-04-06T16:26Znever https://www.findknowdo.com/news/10/22/2020/sec-commissioner-peirce-recommends-review-compliance-officer-liability2021-01-25T23:08Znever https://www.findknowdo.com/news/10/22/2020/investment-firm-fined-2.9-billion-oversight-failures2024-04-12T20:17Znever https://www.findknowdo.com/news/10/22/2020/cftc-staff-advises-fcms-holding-virtual-currency2024-04-06T16:26Znever https://www.findknowdo.com/news/10/23/2020/sec-sanctions-adviser-overcharging-management-fees2022-06-18T20:30Znever https://www.findknowdo.com/news/10/26/2020/finra-proposes-amendments-laws-nac-member-removal2024-04-12T12:26Znever https://www.findknowdo.com/news/10/26/2020/cfpb-seeks-feedback-consumer-access-financial-records2024-04-12T17:05Znever https://www.findknowdo.com/news/10/23/2020/sec-and-cftc-seek-feedback-portfolio-margining2024-04-06T16:26Znever https://www.findknowdo.com/news/10/23/2020/sec-issues-warning-broker-dealers-borrowing-fully-paid-lending-programs2022-06-18T20:30Znever https://www.findknowdo.com/news/10/23/2020/sec-im-division-director-looks-modernize-rules-small-fund-sponsors2021-01-24T01:17Znever https://www.findknowdo.com/news/10/23/2020/nydfs-approves-conditional-bitlicense-paypal2024-02-03T23:12Znever https://www.findknowdo.com/news/10/26/2020/school-day-trading-settles-sec-charges-offering-security-based-swaps2022-06-18T20:30Znever https://www.findknowdo.com/news/10/26/2020/ofac-adds-russian-entity-sdn-list2024-03-06T23:31Znever https://www.findknowdo.com/news/10/26/2020/sec-im-chief-accountant-highlights-recent-staff-guidance2022-12-03T00:35Znever https://www.findknowdo.com/news/10/26/2020/fincen-and-frb-propose-lower-threshold-recordkeeping-and-travel-rules2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/10/27/2020/cftc-and-sec-establish-program-enhance-coordination-bad-actor-exemption-disqualifications2024-04-06T16:26Znever https://www.findknowdo.com/news/10/27/2020/federal-register-sec-adopts-additional-requirements-publish-quotations-otc-securities2020-12-16T21:53Znever https://www.findknowdo.com/news/10/27/2020/ofac-updates-general-license-authorizing-certain-transactions-iran-related-entities2026-06-19T22:57Zmonthly https://www.findknowdo.com/news/10/27/2020/ofac-prohibits-remittance-transaction-processing-cuban-military-entities2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/10/27/2020/cftc-chair-tarbert-limits-authority-staff-grant-relief2024-04-06T16:26Znever https://www.findknowdo.com/news/10/28/2020/trade-groups-support-cftc-proposed-amendments-uncleared-swap-margin-rules2024-04-06T16:26Znever https://www.findknowdo.com/news/10/28/2020/banking-agencies-adopt-revisions-regulatory-capital-rule-and-liquidity-coverage-ratio-rule2024-04-12T21:29Znever https://www.findknowdo.com/news/10/29/2020/sec-officials-describe-complex-products-and-risks-they-pose-investors2023-05-23T00:07Znever https://www.findknowdo.com/news/10/28/2020/sec-division-corporation-finance-director-step-down2022-11-21T16:23Znever https://www.findknowdo.com/news/10/28/2020/sec-adopts-final-rule-investment-companies-use-derivatives2022-11-21T16:23Znever https://www.findknowdo.com/news/10/28/2020/broker-dealer-settles-finra-charges-disclosure-and-reporting-failures2024-04-12T12:26Znever https://www.findknowdo.com/news/10/29/2020/finra-proposes-add-retail-communications-private-placement-filing-requirements2024-04-12T12:26Znever https://www.findknowdo.com/news/10/29/2020/federal-register-fincen-and-frb-propose-lower-threshold-certain-bsa-fund-transfers2026-06-19T17:20Zmonthly https://www.findknowdo.com/news/10/29/2020/cftc-clarifies-recognition-cooperation-self-reporting-and-remediation-enforcement-orders2024-04-06T16:26Znever https://www.findknowdo.com/news/10/29/2020/occ-adopts-rule-determine-true-lender-loan2024-04-12T21:29Znever https://www.findknowdo.com/news/10/29/2020/nydfs-promotes-integration-climate-change-related-financial-risks-financial-services-industry2024-02-03T23:12Znever https://www.findknowdo.com/news/10/29/2020/sec-proposes-replacing-exemption-portfolio-margining-credit-default-swaps-and-sbs2024-01-31T02:33Znever https://www.findknowdo.com/news/10/30/2020/cftc-reorganizes-operations2024-04-06T16:26Znever https://www.findknowdo.com/news/10/30/2020/federal-register-occ-adopts-rule-determine-true-lender-loan2024-04-12T21:29Znever https://www.findknowdo.com/news/10/30/2020/reg.-tracker-november-1-november-152021-01-06T15:34Znever https://www.findknowdo.com/news/10/30/2020/finra-adopts-restrictions-registered-person-becoming-customer-beneficiary-or-trustee2024-04-12T12:26Znever https://www.findknowdo.com/news/10/30/2020/international-affairs-director-leave-sec2020-12-23T23:22Znever https://www.findknowdo.com/news/11/02/2020/sec-awards-10-million-whistleblower2024-01-30T02:46Znever https://www.findknowdo.com/news/10/30/2020/fia-considers-effects-ccp-demands-more-margin-during-pandemic2024-01-31T02:33Znever https://www.findknowdo.com/news/11/02/2020/cfpb-analyzes-student-loan-complaints2024-04-12T17:05Znever https://www.findknowdo.com/news/10/30/2020/agencies-propose-rule-supervisory-guidance2024-04-12T21:29Znever https://www.findknowdo.com/news/11/03/2020/cfpb-director-explains-economic-research-and-evidence-based-policymaking-cfpb2024-04-12T17:05Znever https://www.findknowdo.com/news/11/02/2020/cftc-expands-exemptions-swap-clearing-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/02/2020/fed-revises-terms-main-street-loan-program2024-04-12T20:17Znever https://www.findknowdo.com/news/11/02/2020/ofac-warns-sanctions-risks-relating-high-value-artwork2024-03-06T23:31Znever https://www.findknowdo.com/news/11/03/2020/sec-reviews-record-20202024-01-30T02:46Znever https://www.findknowdo.com/news/11/03/2020/sec-revises-procedures-document-submission-edgar2022-06-18T20:30Znever https://www.findknowdo.com/news/11/03/2020/sec-updates-exemptions-security-based-swap-activities2022-01-16T15:39Znever https://www.findknowdo.com/news/11/03/2020/cftc-and-south-african-reserve-bank-initiate-information-sharing-cooperation2024-04-06T16:26Znever https://www.findknowdo.com/news/11/04/2020/cftc-exempts-singapore-based-trading-platforms-sef-registration2024-04-06T16:26Znever https://www.findknowdo.com/news/11/04/2020/effective-date-amendments-sec-shareholder-proposals-rule-set-january-42021-01-29T19:49Znever https://www.findknowdo.com/news/11/04/2020/cftc-grants-exemptions-foreign-futures-and-options-markets2024-04-06T16:26Znever https://www.findknowdo.com/news/11/05/2020/dol-clarifies-fiduciary-investment-duties-under-erisa2024-04-04T19:19Znever https://www.findknowdo.com/news/11/05/2020/comment-deadline-proposed-amendments-sec-mutual-fund-and-etf-disclosure-framework-set-january-42022-06-18T20:30Znever https://www.findknowdo.com/news/11/05/2020/sec-enhances-whistleblower-program2024-01-30T02:46Znever https://www.findknowdo.com/news/11/05/2020/broker-dealer-settles-finra-charges-distributing-inaccurate-valuation-information2024-04-12T12:26Znever https://www.findknowdo.com/news/11/05/2020/deadline-sec-cftc-joint-comment-request-portfolio-margining-set-december-72024-04-06T16:26Znever https://www.findknowdo.com/news/11/05/2020/comment-deadline-banking-agencies-proposed-supervisory-guidance-rule-set-january-42024-04-12T21:29Znever https://www.findknowdo.com/news/11/06/2020/federal-judge-orders-sba-release-information-ppp-loan-recipients2022-11-21T16:23Znever https://www.findknowdo.com/news/11/09/2020/cfpb-issues-no-action-letter-banks-small-dollar-loan-program2024-04-12T17:05Znever https://www.findknowdo.com/news/11/06/2020/sec-officials-urge-amac-recommend-operational-changes-light-pandemic2022-11-21T16:23Znever https://www.findknowdo.com/news/11/06/2020/sec-commissioner-lee-advocates-standardized-esg-disclosures2022-12-03T00:35Znever https://www.findknowdo.com/news/11/06/2020/sec-staff-provides-guidance-amended-public-company-reporting-requirements2022-11-21T16:23Znever https://www.findknowdo.com/news/11/09/2020/banking-agencies-urge-banks-move-libor-transition2024-04-12T21:29Znever https://www.findknowdo.com/news/11/09/2020/finra-proposes-rule-change-remote-inspections2024-04-12T12:26Znever https://www.findknowdo.com/news/11/09/2020/federal-reserve-board-reports-supervisory-and-regulatory-response-covid-192024-04-12T20:17Znever https://www.findknowdo.com/news/11/09/2020/fincen-updates-fatf-aml/cft-deficiencies-list2024-04-02T18:51Znever https://www.findknowdo.com/news/11/09/2020/effective-date-cftc-rule-delaying-phase-vi-initial-margin-compliance-set-december-92024-04-06T16:26Znever https://www.findknowdo.com/news/11/11/2020/effective-date-cftc-amendments-cpo-reporting-requirements-set-december-102024-04-06T16:26Znever https://www.findknowdo.com/news/11/11/2020/sec-commissioners-encourage-small-business-advisory-committee-consider-proposed-registration-exemptions-finders2022-06-18T20:30Znever https://www.findknowdo.com/news/11/11/2020/ny-fed-executive-vice-president-highlights-complexity-climate-change-risk2024-04-12T20:17Znever https://www.findknowdo.com/news/11/11/2020/broker-dealer-settles-finra-charges-failing-supervise-registered-representative2024-04-12T12:26Znever https://www.findknowdo.com/news/11/11/2020/sec-seeks-comment-sbsd-substituted-compliance-germany2022-01-16T16:11Znever https://www.findknowdo.com/news/11/13/2020/coso-integrates-enterprise-risk-management-compliance-and-ethics2022-06-18T20:30Znever https://www.findknowdo.com/news/11/12/2020/sec-staff-seek-feedback-definition-qualified-custodian2022-11-13T21:20Znever https://www.findknowdo.com/news/11/12/2020/fdic-chair-reviews-agency-response-covid-19-risk2024-04-12T17:58Znever https://www.findknowdo.com/news/11/13/2020/ocie-highlights-supervisory-deficiencies-adviser-branch-offices2021-01-05T20:33Znever https://www.findknowdo.com/news/11/13/2020/ici-examines-money-market-fund-performance2021-01-24T01:38Znever https://www.findknowdo.com/news/11/13/2020/debt-collector-settles-cfpb-charges-furnishing-inaccurate-data2024-04-12T17:05Znever https://www.findknowdo.com/news/11/13/2020/new-executive-order-prohibits-u.s.-securities-investments-companies-linked-prc-military2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/13/2020/sec-warns-broker-dealers-insufficient-aml-due-diligence-omnibus-accounts2023-06-04T12:43Znever https://www.findknowdo.com/news/11/13/2020/reg.-tracker-november-16-november-302021-01-06T15:34Znever https://www.findknowdo.com/news/11/13/2020/effective-date-dol-amendments-erisa-fiduciary-investment-regulation-set-january-122024-04-04T19:19Znever https://www.findknowdo.com/news/11/16/2020/advisory-firms-settle-sec-charges-improper-sales-complex-exchange-traded-products2022-06-18T20:30Znever https://www.findknowdo.com/news/11/16/2020/sec-chair-jay-clayton-leave-agency-years-end2022-06-18T20:30Znever https://www.findknowdo.com/news/11/16/2020/cftc-extends-exemptive-relief-sefs-allocation-information-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/16/2020/cftc-extends-no-action-relief-sefs-certain-block-trade-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/17/2020/ofac-extends-authorization-certain-transactions-involving-sanctioned-venezuelan-entity2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/17/2020/cfpb-seeks-comment-access-credit-consumers-limited-english-proficiency2024-04-12T17:05Znever https://www.findknowdo.com/news/11/17/2020/finra-proposes-additional-obligations-firms-a-history-misconduct2024-04-12T12:26Znever https://www.findknowdo.com/news/11/18/2020/sec-commissioner-supports-expansion-use-structured-data2022-06-18T20:30Znever https://www.findknowdo.com/news/11/19/2020/oecd-working-group-commends-u.s.-efforts-improve-fcpa-enforcement2020-12-23T21:23Znever https://www.findknowdo.com/news/11/18/2020/fca-and-iba-consult-libor-cessation2022-12-03T16:44Znever https://www.findknowdo.com/news/11/18/2020/sec-adopts-amendments-facilitate-electronic-filings2021-01-24T04:32Znever https://www.findknowdo.com/news/11/19/2020/sec-director-hinman-highlights-utility-principles-based-approach-disclosure2022-06-18T20:30Znever https://www.findknowdo.com/news/11/19/2020/changes-sec-regulatory-framework-fund-funds-arrangements-become-effective-january-192021-01-29T19:49Znever https://www.findknowdo.com/news/11/19/2020/sec-names-new-associate-general-counsel-legal-policy2020-12-23T23:22Znever https://www.findknowdo.com/news/11/19/2020/sec-approves-finra-temporary-rule-change-remote-inspections2024-04-12T12:26Znever https://www.findknowdo.com/news/11/19/2020/cftc-codifies-no-action-relief-sef-execution-and-package-transactions2024-04-06T16:26Znever https://www.findknowdo.com/news/11/19/2020/broker-dealer-settles-nyse-arca-charges-reporting-inaccurate-origin-codes2024-04-11T22:01Znever https://www.findknowdo.com/news/11/20/2020/cftc-extends-no-action-relief-non-u.s.-sds-swap-data-reporting-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/20/2020/broker-dealer-settles-finra-charges-aml-failures2024-04-12T12:26Znever https://www.findknowdo.com/news/11/20/2020/ocie-issues-risk-alert-adviser-compliance-programs2022-06-18T20:30Znever https://www.findknowdo.com/news/11/20/2020/iaa-and-nrs-report-state-investment-adviser-industry2022-06-18T20:30Znever https://www.findknowdo.com/news/11/20/2020/sec-adopts-amendments-regulation-s-k-financial-disclosure-requirements2020-12-23T01:40Znever https://www.findknowdo.com/news/11/20/2020/cftc-adopts-cross-border-dco-rule-changes2024-04-06T16:26Znever https://www.findknowdo.com/news/11/20/2020/broker-dealer-settles-charges-msrb-trade-reporting-failures2024-04-12T00:18Znever https://www.findknowdo.com/news/11/23/2020/banking-agencies-provide-relief-community-banks-affected-pandemic-policies2024-04-12T21:29Znever https://www.findknowdo.com/news/11/23/2020/sifma-identifies-challenges-operationalizing-distributed-ledger-technology2022-07-04T19:25Znever https://www.findknowdo.com/news/11/23/2020/fdic-proposes-amendments-assessment-regulations-deposit-insurance2024-04-12T17:58Znever https://www.findknowdo.com/news/11/23/2020/nfa-updates-cpo-registration-exemption-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/11/23/2020/cftc-chair-touts-benefits-self-regulation2024-04-06T16:26Znever https://www.findknowdo.com/news/11/24/2020/occ-proposes-rule-ensure-fair-access-financial-services2024-04-12T21:29Znever https://www.findknowdo.com/news/11/24/2020/effective-date-set-sec-and-cftc-joint-final-rule-reduce-margin-requirements-security-futures2024-04-06T16:26Znever https://www.findknowdo.com/news/11/24/2020/structured-finance-association-asks-treasury-go-slow-fannie-and-freddie-privatization2022-06-18T20:30Znever https://www.findknowdo.com/news/11/24/2020/cftc-investigates-trading-nymex-crude-oil-futures-contract2024-04-06T16:26Znever https://www.findknowdo.com/news/11/24/2020/cfpb-amends-rules-concerning-disclosure-records-and-information2024-04-12T17:05Znever https://www.findknowdo.com/news/11/25/2020/nfa-highlights-regulatory-developments-20202024-04-05T19:34Znever https://www.findknowdo.com/news/11/24/2020/cftc-chair-urges-adherence-isda-ibor-protocol2024-09-27T22:14Zyearly https://www.findknowdo.com/news/11/24/2020/sec-identifies-investment-risks-associated-china-based-issuers2022-06-18T20:30Znever https://www.findknowdo.com/news/11/24/2020/sec-provides-guidance-eu-based-ccps-registration-and-exemptions2024-01-31T02:33Znever https://www.findknowdo.com/news/11/25/2020/firm-settles-finra-charges-electronic-correspondence-failures2024-04-12T12:26Znever https://www.findknowdo.com/news/11/25/2020/firm-settles-finra-charges-oats-reporting-violations2024-04-12T12:26Znever https://www.findknowdo.com/news/11/25/2020/sec-proposes-compensating-certain-gig-workers-equity2020-12-12T20:33Znever https://www.findknowdo.com/news/11/25/2020/cfpb-director-describes-agency-research-small-business-lending2024-04-12T17:05Znever https://www.findknowdo.com/news/11/25/2020/comment-deadline-occ-proposed-rule-ensure-fair-access-financial-services-set-january-42024-04-12T21:29Znever https://www.findknowdo.com/news/11/25/2020/sec-proposes-expanding-registration-exemptions-platform-workers2020-12-15T02:27Znever https://www.findknowdo.com/news/11/25/2020/effective-date-and-compliance-deadlines-set-cftc-amendments-swap-data-reporting-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/25/2020/cftc-extends-brexit-related-no-action-relief2024-04-06T16:26Znever https://www.findknowdo.com/news/11/25/2020/sec-and-pcaob-officials-decry-inspection-limitations-china-based-audit-firms2022-12-03T02:17Znever https://www.findknowdo.com/news/11/30/2020/ofac-adds-chinese-entity-sdn-list2026-06-19T22:31Zmonthly https://www.findknowdo.com/news/11/30/2020/cftc-and-italian-regulator-enter-agreement-cross-border-derivatives-activities2024-04-06T16:26Znever https://www.findknowdo.com/news/11/30/2020/reg.-tracker-december-1-december-152021-01-06T15:34Znever https://www.findknowdo.com/news/11/30/2020/effective-date-set-cftc-amendments-expanding-exemptions-swap-clearing-requirements2024-04-06T16:26Znever https://www.findknowdo.com/news/11/30/2020/ice-consults-end-usd-libor-u.s.-and-uk-regulators-respond2024-04-12T21:29Znever https://www.findknowdo.com/news/11/30/2020/frb-extends-expiration-date-covid-19-related-lending-facilities2024-04-12T20:17Znever https://www.findknowdo.com/news/12/01/2020/nasaa-adopts-model-continuing-education-rule-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/12/01/2020/frb-chair-jerome-powell-testifies-impact-cares-act2024-04-12T20:17Znever https://www.findknowdo.com/news/12/02/2020/cfpb-issues-no-action-letter-lending-platforms-ai-driven-underwriting-model2024-09-27T22:12Zyearly https://www.findknowdo.com/news/12/01/2020/cftc-extends-relief-filing-sef-compliance-and-financial-reports2024-04-06T16:26Znever https://www.findknowdo.com/news/12/02/2020/interim-final-rule-community-banks-affected-pandemic-policies-goes-effect2024-04-12T21:29Znever https://www.findknowdo.com/news/12/02/2020/firm-settles-finra-charges-trace-reporting-violations2024-04-12T12:26Znever https://www.findknowdo.com/news/12/02/2020/nfa-reminds-registrants-annual-affirmation-requirement-cpo-or-cta-registration-exemptions2024-04-05T19:34Znever https://www.findknowdo.com/news/12/02/2020/finra-proposes-extension-temporary-covid-19-related-relief2024-04-12T12:26Znever https://www.findknowdo.com/news/12/02/2020/nfa-proposes-new-marketing-requirement-swap-dealers2024-04-05T19:34Znever https://www.findknowdo.com/news/12/02/2020/cftc-reviews-2020-enforcement-results2024-04-06T16:26Znever https://www.findknowdo.com/news/12/02/2020/new-york-attorney-general-finalizes-rules-modernize-and-streamline-securities-filings2022-11-14T03:44Znever https://www.findknowdo.com/news/12/03/2020/sec-officials-push-back-esg-disclosure-recommendations2020-12-23T01:40Znever https://www.findknowdo.com/news/12/03/2020/broker-dealer-settles-finra-charges-insufficient-aml-program-testing2024-04-12T12:26Znever https://www.findknowdo.com/news/12/04/2020/finra-amends-timestamp-trade-reporting-requirements2024-04-12T12:26Znever https://www.findknowdo.com/news/12/03/2020/sifma-recommends-minor-enhancements-sec-proposed-amendments-cat-nms-plan2022-06-18T20:30Znever https://www.findknowdo.com/news/12/04/2020/sec-adopts-framework-modernize-fund-valuation-practices2021-11-26T01:48Znever https://www.findknowdo.com/news/12/04/2020/sec-commissioner-challenges-investor-advisory-committee-corporate-disclosures2022-06-18T20:30Znever https://www.findknowdo.com/news/12/04/2020/fsoc-highlights-pandemic-related-financial-risk-20202022-07-27T18:55Znever https://www.findknowdo.com/news/12/04/2020/effective-date-sec-amendments-facilitate-electronic-filings-set-december-42021-01-29T19:51Znever https://www.findknowdo.com/news/12/04/2020/arrc-issues-guide-endgame-usd-libor2024-09-27T22:08Zyearly https://www.findknowdo.com/news/12/04/2020/sec-designates-finhub-stand-alone-office2022-07-02T22:30Znever https://www.findknowdo.com/news/12/04/2020/national-restaurant-chain-settles-sec-charges-failures-disclose-covid-19-impacts2020-12-15T06:37Znever https://www.findknowdo.com/news/12/04/2020/congress-passes-holding-foreign-companies-accountable-act2022-12-03T00:35Znever https://www.findknowdo.com/news/12/04/2020/house-passes-bill-decriminalize-marijuana2024-02-12T02:39Znever https://www.findknowdo.com/news/12/04/2020/energy-trading-firm-settles-doj-and-cftc-foreign-bribery-charges2024-04-06T16:26Znever https://www.findknowdo.com/news/12/07/2020/firm-settles-finra-charges-aml-and-due-diligence-violations2024-04-12T12:26Znever https://www.findknowdo.com/news/12/07/2020/cftc-issues-relief-brexit-related-transfer-legacy-swaps2024-04-06T16:26Znever https://www.findknowdo.com/news/12/07/2020/cfpb-sues-online-lender-alleged-military-lending-act-violations2024-04-12T17:04Znever https://www.findknowdo.com/news/12/07/2020/comment-deadline-set-proposed-amendments-fdic-assessment-regulations-deposit-insurance2024-04-12T17:58Znever https://www.findknowdo.com/news/12/07/2020/effective-date-set-cftc-amendments-cpo-registration-exemption-cross-border-activity2024-04-06T16:26Znever https://www.findknowdo.com/news/12/07/2020/finra-extends-window-completing-qualification-examinations2024-04-12T12:26Znever https://www.findknowdo.com/news/12/07/2020/nfa-updates-cpo-quarterly-reporting-form2024-04-05T19:34Znever https://www.findknowdo.com/news/12/08/2020/firm-settles-finra-charges-supervisory-failures-over-executive-communications2024-04-12T12:26Znever https://www.findknowdo.com/news/12/08/2020/mortgage-servicer-settles-cfpb-and-state-charges-unlawful-practices2024-04-12T17:04Znever https://www.findknowdo.com/news/12/08/2020/frb-raises-fee-assessment-threshold-under-regulation-tt2024-04-12T20:16Znever https://www.findknowdo.com/news/12/08/2020/adviser-settles-sec-charges-disclosure-failures-harmed-investors2022-06-18T20:30Znever https://www.findknowdo.com/news/12/08/2020/ofac-clarifies-scope-iranian-sanctions2026-06-19T22:56Zmonthly https://www.findknowdo.com/news/12/08/2020/cftc-staff-clarifies-applicability-clearing-requirements-default-management-transactions2024-04-06T16:25Znever https://www.findknowdo.com/news/12/08/2020/cftc-approves-technical-amendments-related-agency-reorganization2024-04-06T16:25Znever https://www.findknowdo.com/news/12/08/2020/cftc-amends-uncleared-swap-margin-rules2024-04-06T16:25Znever https://www.findknowdo.com/news/12/09/2020/cftc-revises-sef-regulatory-framework2024-04-06T16:25Znever https://www.findknowdo.com/news/12/10/2020/broker-dealer-settles-nyse-charges-trading-violations2024-04-11T22:01Znever https://www.findknowdo.com/news/12/09/2020/sec-chief-accountant-highlights-oca-priorities-during-pandemic2022-12-03T00:35Znever https://www.findknowdo.com/news/12/09/2020/sec-awards-3-million-five-whistleblowers2024-01-30T02:45Znever https://www.findknowdo.com/news/12/09/2020/sec-general-counsel-depart-agency2022-06-18T20:30Znever https://www.findknowdo.com/news/12/09/2020/pricing-service-settles-sec-charges-related-single-broker-quotes2022-06-18T20:30Znever https://www.findknowdo.com/news/12/09/2020/cftc-adopts-comprehensive-update-bankruptcy-regulations2024-04-06T16:25Znever https://www.findknowdo.com/news/12/09/2020/nfa-reminds-firms-swaps-proficiency-requirements-deadline2024-04-05T19:34Znever https://www.findknowdo.com/news/12/09/2020/cftc-staff-provides-trade-execution-relief-lch-default-management-transactions2024-04-06T16:25Znever https://www.findknowdo.com/news/12/09/2020/cftc-adopts-electronic-trading-principles2024-04-06T16:25Znever https://www.findknowdo.com/news/02/27/2019/commissioners-outline-differing-approaches-cftc-sef-rules2024-04-06T17:31Znever https://www.findknowdo.com/news/12/10/2020/publicly-traded-company-settles-sec-charges-disclosure-failures-regarding-reported-profit-growth2022-06-18T20:30Znever https://www.findknowdo.com/news/12/10/2020/broker-dealer-settles-nyse-charges-failing-route-customer-orders2022-06-18T20:30Znever https://www.findknowdo.com/news/12/10/2020/broker-dealer-settles-nyse-charges-executing-orders-multiple-floor-brokers2024-04-11T22:01Znever https://www.findknowdo.com/news/12/10/2020/sec-introduces-competition-nms-data-collection-consolidation-and-delivery2022-12-31T20:07Znever https://www.findknowdo.com/news/12/10/2020/broker-dealer-settles-finra-charges-violations-relating-employee-hiring2024-04-12T12:26Znever https://www.findknowdo.com/news/12/10/2020/fdic-and-frb-update-resolution-plan-submission-guidance-certain-foreign-banks2024-04-12T20:16Znever https://www.findknowdo.com/news/12/11/2020/comment-deadline-set-sec-proposal-amend-registration-exemptions-platform-workers2022-06-18T20:30Znever https://www.findknowdo.com/news/12/11/2020/effective-date-sec-amendments-auditor-independence-framework-set-june-92022-12-03T00:35Znever https://www.findknowdo.com/news/12/11/2020/comment-deadline-set-temporary-sec-rule-change-compensate-certain-gig-workers-equity2022-06-18T20:30Znever https://www.findknowdo.com/news/12/11/2020/sec-enforcement-director-stephanie-avakian-conclude-tenure2022-06-18T20:30Znever https://www.findknowdo.com/news/12/11/2020/sec-charges-brand-management-company-failure-timely-impair-goodwill2020-12-16T17:40Znever https://www.findknowdo.com/news/12/11/2020/cfpb-adopts-rules-expanding-scope-qualified-mortgage-definition2024-04-12T17:03Znever https://www.findknowdo.com/news/12/14/2020/firm-settles-finra-charges-failure-keep-accurate-order-records2024-04-12T12:25Znever https://www.findknowdo.com/news/12/14/2020/frb-vice-chair-recommends-reform-banking-supervisory-rating-system2024-04-12T20:16Znever https://www.findknowdo.com/news/12/14/2020/treasury-reports-foreign-financial-institution-violations-hong-kong-autonomy-act2026-06-19T22:56Zmonthly https://www.findknowdo.com/news/12/14/2020/dol-adopts-rule-clarifying-plan-fiduciaries-proxy-voting-obligations2024-04-04T19:19Znever https://www.findknowdo.com/news/12/14/2020/frb-and-occ-provide-brexit-related-relief-legacy-swaps2026-06-19T21:02Zmonthly https://www.findknowdo.com/news/12/14/2020/fdic-chair-mcwilliams-advocates-technological-advancements-bank-supervision2024-04-12T17:58Znever https://www.findknowdo.com/news/12/15/2020/frb-joins-network-central-banks-and-supervisors-concerned-climate-risk-management2024-04-12T20:16Znever https://www.findknowdo.com/news/12/15/2020/reg.-tracker-december-16-december-312021-01-06T15:34Znever https://www.findknowdo.com/news/12/15/2020/interdealer-brokers-settle-cftc-charges-flying-prices-and-printing-trades2024-04-06T16:25Znever https://www.findknowdo.com/news/12/15/2020/finra-names-new-head-market-regulation-and-transparency-services2024-04-12T12:25Znever https://www.findknowdo.com/news/02/27/2019/fif-offers-alternative-approach-reporting-regulation-nms-order-execution-data2021-01-13T19:15Znever https://www.findknowdo.com/news/02/27/2019/msrb-sets-effective-date-advertising-rule-amendments2024-04-12T00:19Znever https://www.findknowdo.com/news/02/27/2019/senator-warren-criticizes-frb-high-approval-bank-merger-applications2024-04-12T21:15Znever https://www.findknowdo.com/news/02/27/2019/msrb-requests-comments-requirement-municipal-advisors-apply-cusip-numbers2024-04-12T00:19Znever https://www.findknowdo.com/news/02/27/2019/cftc-will-not-appeal-district-courts-market-manipulation-decision2024-04-06T17:31Znever https://www.findknowdo.com/news/02/28/2019/federal-register-sec-proposes-greater-flexibility-communications-institutional-investors2021-09-21T22:47Znever https://www.findknowdo.com/news/02/28/2019/federal-register-frb-increases-transparency-stress-testing-program2024-04-12T21:15Znever https://www.findknowdo.com/news/02/28/2019/sec-adopts-rule-filings-certain-non-public-reports2022-01-03T22:45Znever https://www.findknowdo.com/news/02/28/2019/cfpb-reports-increase-sars-filings-concerning-elder-financial-exploitation2024-04-12T17:07Znever https://www.findknowdo.com/news/02/28/2019/cfpb-streamlines-system-prepaid-issuers-submit-account-agreements2024-04-12T17:07Znever https://www.findknowdo.com/news/02/28/2019/sec-names-first-chief-risk-officer2020-12-16T02:50Znever https://www.findknowdo.com/news/02/28/2019/senate-committee-banking-considers-bills-capital-formation-and-corporate-governance2020-12-16T02:50Znever https://www.findknowdo.com/news/03/01/2019/finra-revises-sanctions-guidelines-account-inflation2024-04-12T12:39Znever https://www.findknowdo.com/news/03/01/2019/ofac-sanctions-venezuelan-officials-blocking-entry-humanitarian-aid2024-03-06T23:33Znever https://www.findknowdo.com/news/03/01/2019/industry-associations-raise-concerns-about-proposed-financial-legislation2021-01-13T20:10Znever https://www.findknowdo.com/news/03/01/2019/nfa-reminds-members-available-compliance-resources2024-04-05T19:34Znever https://www.findknowdo.com/news/03/01/2019/cftc-commissioner-proposes-improvements-agency-data-protection2024-04-06T17:31Znever https://www.findknowdo.com/news/03/04/2019/government-accountability-office-renews-call-national-data-privacy-legislation2024-01-30T19:23Znever https://www.findknowdo.com/news/03/04/2019/cfpb-solicits-information-residential-property-assessed-clean-energy-financing2024-04-12T17:07Znever https://www.findknowdo.com/news/03/04/2019/sec-grants-indian-company-tender-offer-rule-exemption2020-12-16T02:51Znever https://www.findknowdo.com/news/03/04/2019/sec-answers-investor-questions-trading-suspensions2021-07-22T18:26Znever https://www.findknowdo.com/news/03/04/2019/cftc-awards-over-2-million-individual-whistleblower2024-04-06T17:31Znever https://www.findknowdo.com/news/03/04/2019/fdic-creates-new-online-support-center-consumers2024-04-12T19:01Znever https://www.findknowdo.com/news/03/04/2019/fdic-general-counsel-leave-agency2024-04-12T19:01Znever https://www.findknowdo.com/news/03/05/2019/bcbs-iosco-offer-clarifications-derivatives-margin-requirements2021-01-16T19:11Znever https://www.findknowdo.com/news/03/05/2019/broker-dealer-settles-finra-charges-oats-violations2024-04-12T12:39Znever https://www.findknowdo.com/news/03/05/2019/financial-services-firm-settles-regulation-sho-charges2024-04-12T12:39Znever https://www.findknowdo.com/news/03/05/2019/firm-settles-sec-charges-misleading-clients-brokerage-fees2020-12-16T02:51Znever https://www.findknowdo.com/news/03/06/2019/federal-register-sec-adopts-rule-filings-certain-non-public-reports2022-01-03T22:45Znever https://www.findknowdo.com/news/03/06/2019/cfpb-provides-specifications-online-submissions-prepaid-account-agreements2024-04-12T17:07Znever https://www.findknowdo.com/news/03/06/2019/nasaa-recommends-legislative-agenda-116th-congress2024-02-03T22:51Znever https://www.findknowdo.com/news/03/06/2019/nfa-proposes-changes-membership-and-qualification-requirements2024-04-05T19:34Znever https://www.findknowdo.com/news/03/06/2019/nfa-modifies-proposal-amending-swaps-compliance-rules2024-04-05T19:34Znever https://www.findknowdo.com/news/03/06/2019/frb-requests-feedback-amending-reserve-requirements-depository-institutions2024-04-12T21:15Znever https://www.findknowdo.com/news/03/06/2019/ofac-extends-expiration-date-general-licenses-regarding-ukraine-related-sanctions2024-03-06T23:33Znever https://www.findknowdo.com/news/03/06/2019/frb-amends-capital-plan-rule-provides-instructions-2019-ccar-exercise2024-04-12T21:15Znever https://www.findknowdo.com/news/03/06/2019/cftc-joins-fight-against-foreign-corruption2024-04-06T17:30Znever https://www.findknowdo.com/news/03/06/2019/sec-commissioner-peirce-criticizes-proxy-process2020-12-16T02:51Znever https://www.findknowdo.com/news/04/23/2019/arrc-provides-sofr-users-guide2022-12-03T00:49Znever https://www.findknowdo.com/news/04/23/2019/global-commodities-trading-team-settles-cme-group-charges-position-limit-violations2024-04-05T18:42Znever https://www.findknowdo.com/news/04/23/2019/federal-register-ncua-seeks-feedback-certain-compensation-arrangements2024-04-12T17:29Znever https://www.findknowdo.com/news/04/24/2019/occ-proposes-updating-regulatory-framework-oreo-activities2024-04-12T21:33Znever https://www.findknowdo.com/news/04/24/2019/broker-dealer-settles-finra-charges-failure-apply-sales-charge-waivers2024-04-12T12:38Znever https://www.findknowdo.com/news/04/24/2019/nasaa-warns-investors-cross-selling-risks2024-02-03T22:51Znever https://www.findknowdo.com/news/04/24/2019/finra-forms-new-office-financial-innovation2024-04-12T12:38Znever https://www.findknowdo.com/news/04/24/2019/ofac-targets-hizballah-financing-conduits2024-03-06T23:33Znever https://www.findknowdo.com/news/04/25/2019/finra-proposes-updating-manual-reflect-new-cat-subsidiary2024-04-12T12:38Znever https://www.findknowdo.com/news/04/25/2019/federal-register-cftc-amends-annual-privacy-notice-requirement2024-04-06T17:30Znever https://www.findknowdo.com/news/04/25/2019/broker-dealer-settles-finra-charges-suitability-failures2024-04-12T12:38Znever https://www.findknowdo.com/news/04/25/2019/cfpb-updates-policy-civil-investigative-demands2024-04-12T17:07Znever https://www.findknowdo.com/news/04/25/2019/sec-names-inaugural-members-small-business-capital-formation-advisory-committee2020-12-16T02:51Znever https://www.findknowdo.com/news/04/25/2019/broker-dealer-settles-finra-charges-failing-independently-test-aml-program2024-04-12T12:38Znever https://www.findknowdo.com/news/04/25/2019/arrc-recommends-libor-termination-language2022-12-03T00:49Znever https://www.findknowdo.com/news/04/16/2019/new-jersey-bureau-securities-proposes-uniform-fiduciary-standard2020-12-16T02:51Znever https://www.findknowdo.com/news/04/17/2019/aba-supports-safe-banking-act-20192024-02-12T02:39Znever https://www.findknowdo.com/news/04/17/2019/cftc-commissioners-criticize-supplemental-leverage-ratio2024-04-06T17:30Znever https://www.findknowdo.com/news/04/17/2019/ofac-targets-venezuelan-and-nicaraguan-regimes2024-03-06T23:33Znever https://www.findknowdo.com/news/04/17/2019/ofac-designates-nicaraguas-first-son-and-nicaraguan-bank2024-03-06T23:33Znever https://www.findknowdo.com/news/04/17/2019/finra-impose-gasb-accounting-support-fee2024-04-12T12:38Znever https://www.findknowdo.com/news/04/17/2019/fdic-seeks-feedback-improving-resolution-planning2024-04-12T19:01Znever https://www.findknowdo.com/news/04/17/2019/sec-approves-use-electronic-signatures-under-finra-customer-account-information-rule2024-04-12T12:38Znever https://www.findknowdo.com/news/04/17/2019/finra-proposes-amending-trace-reporting-rules-certain-transactions2024-04-12T12:38Znever https://www.findknowdo.com/news/04/18/2019/isda-and-sifma-urge-sec-address-disparities-cftc-and-sec-swap-rules2021-01-15T00:22Znever https://www.findknowdo.com/news/04/18/2019/virtual-currency-exchanger-settles-fincen-aml-violations2024-04-02T18:52Znever https://www.findknowdo.com/news/04/18/2019/banking-agencies-propose-supplementary-leverage-ratio-relief2024-04-12T21:33Znever https://www.findknowdo.com/news/04/19/2019/cftc-amends-annual-privacy-notice-requirement2024-04-06T17:30Znever https://www.findknowdo.com/news/04/19/2019/marketplace-lender-settles-sec-charges-misreporting-annual-returns-investors2020-12-16T02:51Znever https://www.findknowdo.com/news/04/19/2019/finra-consolidates-criteria-participation-bc/dr-testing2024-04-12T12:38Znever https://www.findknowdo.com/news/04/22/2019/msrb-proposes-eliminate-requirement-keep-hard-copy-rulebook2024-04-12T00:19Znever https://www.findknowdo.com/news/04/22/2019/sec-amends-custodian-rule-broker-dealers-withdrawing-registration2024-04-12T12:38Znever https://www.findknowdo.com/news/04/22/2019/federal-register-fdic-seeks-feedback-improving-resolution-planning2024-04-12T19:01Znever https://www.findknowdo.com/news/04/23/2019/u.s.-government-end-sanctions-exemptions-importers-iranian-oil2021-07-20T15:34Znever https://www.findknowdo.com/news/04/09/2019/massachusetts-securities-division-proposes-changes-investment-adviser-disclosure-rules2020-12-16T02:51Znever https://www.findknowdo.com/news/04/09/2019/associations-call-iosco-impose-standardized-esg-disclosure-requirements2024-02-03T18:36Znever https://www.findknowdo.com/news/04/09/2019/nasaa-warns-investors-robo-advisers2024-02-03T22:51Znever https://www.findknowdo.com/news/04/09/2019/frb-and-fdic-proposes-modify-rule-implementing-resolution-planning-requirements2024-04-12T21:15Znever https://www.findknowdo.com/news/04/10/2019/federal-register-sec-proposes-revising-offering-process-bdcs-and-closed-end-funds2020-12-16T02:51Znever https://www.findknowdo.com/news/04/10/2019/sec-commissioner-hester-peirce-voices-concern-over-staff-guidance2020-12-16T02:51Znever https://www.findknowdo.com/news/04/10/2019/cftc-commissioner-rostin-behnam-highlights-developments-libor-margin-and-sef-reform2024-04-06T17:30Znever https://www.findknowdo.com/news/04/10/2019/gsib-ceos-testify-bank-operations-post-financial-crisis2020-12-16T02:51Znever https://www.findknowdo.com/news/04/10/2019/senate-banking-committee-debates-esg-and-corporate-governance2020-12-16T02:51Znever https://www.findknowdo.com/news/04/10/2019/finra-provides-guidance-capital-charges-underwriting2024-04-12T12:38Znever https://www.findknowdo.com/news/04/10/2019/finra-extends-pilot-transactions-exchange-listed-securities2024-04-12T12:38Znever https://www.findknowdo.com/news/04/10/2019/sec-staff-permits-insiders-hedge-partnership-units2020-12-16T02:51Znever https://www.findknowdo.com/news/04/11/2019/federal-register-fdic-proposes-better-process-deposit-insurance-determinations2024-04-12T19:01Znever https://www.findknowdo.com/news/04/11/2019/occ-notifies-banks-revised-interagency-examination-procedures-hmda-compliance2024-04-12T21:33Znever https://www.findknowdo.com/news/04/11/2019/ofac-sanctions-hizballah-affiliate-transporting-drug-proceeds2024-03-06T23:33Znever https://www.findknowdo.com/news/04/11/2019/isda-provides-updates-ibor-fallbacks2021-01-15T00:21Znever https://www.findknowdo.com/news/04/11/2019/regulators-review-progress-transition-away-libor2024-04-12T21:15Znever https://www.findknowdo.com/news/04/11/2019/cftc-chair-giancarlo-explains-market-based-price-discovery-agriculture-sector2024-04-06T17:30Znever https://www.findknowdo.com/news/04/11/2019/sec-approve-non-transparent-etf-proposal2020-12-16T02:51Znever https://www.findknowdo.com/news/04/11/2019/msrb-proposes-several-non-controversial-amendments-rulebook2024-04-12T00:19Znever https://www.findknowdo.com/news/04/12/2019/finra-makes-permanent-two-nms-rules-market-volatility2024-04-12T12:38Znever https://www.findknowdo.com/news/04/12/2019/sifma-calls-creation-uniform-strikes-listed-options2021-01-13T20:58Znever https://www.findknowdo.com/news/04/12/2019/isda-highlights-uncertainties-capital-treatment-trading-positions2021-01-15T00:21Znever https://www.findknowdo.com/news/04/12/2019/oil-and-gas-service-provider-settles-charges-violating-u.s.-sanctions-against-cuba-and-iran2024-03-06T23:33Znever https://www.findknowdo.com/news/04/12/2019/ofac-sanctions-companies-operating-venezuelan-oil-sector2024-03-06T23:33Znever https://www.findknowdo.com/news/04/12/2019/fed-governor-michelle-bowman-sees-upside-community-bank-collaboration-fintechs2024-04-12T21:15Znever https://www.findknowdo.com/news/04/12/2019/sec-provides-guidance-mutual-fund-prospectus-delivery-obligations2020-12-16T02:51Znever https://www.findknowdo.com/news/04/12/2019/broker-dealer-settles-finra-charges-violating-payments-market-making-rule2024-04-12T12:38Znever https://www.findknowdo.com/news/04/12/2019/broker-dealer-settles-charges-improper-commission-offsets-and-failure-maintain-fidelity-bond-coverage2024-04-12T12:38Znever https://www.findknowdo.com/news/04/15/2019/finra-seeks-comment-trade-reporting-pilot-corporate-bond-blocks2024-04-12T12:38Znever