USA - March 26 2021
On March 22, the Securities and Exchange Commission launched a new page on its website to bring together agency actions and the latest information…
Susan Light.
USA - March 26 2021
On March 18, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-12 (Notice), which reminds member firms of their…
Susan Light.
USA - March 26 2021
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement congressionally mandated submission and disclosure…
Susan Light.
USA - March 26 2021
On March 14, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-11 (Notice), which seeks comment on proposed…
Susan Light.
USA - January 22 2021
On January 19, the Commodity Futures Trading Commission’s Market Participants Division (MPD) and Division of Market Oversight (DMO) issued CFTC Staff…
Kevin M. Foley.