Commentary by Steven Lofchie
The MSRB voted to amend its supervisory rules to allow dealer firms to conduct office inspections remotely. The extension runs until December 31, 2022.
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22379 News Results
Commentary by Steven Lofchie
The SEC approved FINRA’s proposal to delay, from April 26, 2022 to October 26, 2022, the implementation of amendments to rules on margin requirements for covered agency transactions.
OFAC prohibited U.S. persons from engaging in transactions with the Central Bank of Russia, and imposed sanctions on President Vladimir Putin, Foreign Minister Sergei Lavrov and numerous Russian investment funds.
A firm settled FINRA charges for failure to apply market access controls and procedures to orders routed by one of its risk management systems.
The SEC proposed new rules and amendments to comply with Congress’s mandate to provide greater short sale transparency to investors.