Articles

Results 1 to 5 of 216


CFTC Announces Market Risk Advisory Committee Meeting

USA - February 12 2021 On February 8, the Market Risk Advisory Committee (MRAC) of the Commodity Futures Trading Commission (CFTC) announced that it will hold a public…

Kevin M. Foley, Elizabeth Organ

FINRA Files Proposed Rule Change to Address Firms With History of Misconduct

USA - November 20 2020 On November 16, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission a proposed rule change to (1)…

Susan Light, Jack A. West

FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases

USA - November 13 2020 The Financial Industry Regulatory Authority (FINRA) announced that it is conducting a review of firms’ systems and procedures for providing waivers…

Timothy D. Kertland, Susan Light

SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners

USA - October 30 2020 On October 22, the staff of the Division of Trading and Markets of the Securities and Exchange Commission (DTM) issued a no-action letter (the…

Laura N. Krcmaric

SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D

USA - October 30 2020 On October 23, Chairman Jay Clayton of the Securities and Exchange Commission and Chairman Heath P. Tarbert of the Commodity Futures Trading…

Laura N. Krcmaric, Gregory A. Uffner