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SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues

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.

FINRA Reminds Member Firms of Obligations for Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions

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.

SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act

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.

FINRA Requests Comment on Proposed Amendments to Margin Rule 4210

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.

CFTC Staff Provides Limited Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19

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.