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FINRA Seeks Comment Regarding Diversity and Inclusion Initiatives

USA - May 7 2021 The Financial Industry Regulatory Authority (FINRA) is seeking comment on rules, operations and administrative processes that may create unintended…

Susan Light.

FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements

USA - May 7 2021 The Financial Industry Regulatory Authority (FINRA) is requesting comment on proposed amendments to Rule 4210 (Margin Requirements) that seek to…

Susan Light.

CFTC Staff Issues Guidance Regarding Risk Assessment of Customer Accounts for Futures Commission Merchants

USA - April 2 2021 On March 29, the Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission issued guidance regarding the implementation of…

Kevin M. Foley.

NFA Issues Notice Regarding Effective Date of NFA’s Swap Dealer Capital Requirements

USA - April 2 2021 On March 31, the National Futures Association (NFA) issued Notice I-21-14 advising member firms that are registered with the Commodity Futures Trading…

Kevin M. Foley.

FINRA Provides Additional FINRA Exams Online

USA - February 26 2021 Effective February 24, and in response to the ongoing challenges posed by the COVID-19 pandemic, the Financial Industry Regulatory Authority (FINRA)…

Susan Light.