FINRA requested comments on a proposal to speed up the arbitration process for claimants who are seriously ill or elderly.
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President Joseph R. Biden into law the Consolidated Appropriations Act, which includes the Adjustable Interest Rate (LIBOR) Act.
A firm and its General Securities Principal settled FINRA charges for supervisory violations regarding suitability and excessive trading.
A London-based swap dealer settled CFTC charges for violating trade reporting and business conduct requirements.
The SEC Division of Trading and Markets warned broker-dealers to stay "vigilant to market and counterparty risks" during times of increased global unrest.