Articles

Results 6 to 10 of 18


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

Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations

USA - January 22 2021 On January 19, the National Futures Association (NFA) issued Notice to Members 1-21-03, announcing that remote online testing is now available for…

Kevin M. Foley