SIFMA recommended substantial changes to the SEC's proposed rulemaking on electronic recordkeeping requirements for broker-dealers, security-based swap dealers and major security-based swap participants.
News & Insights
22383 News Results
A California-based registered money services business settled potential civil liability for alleged violations of the Cuban Assets Control Regulations.
A New York City-based company settled CFTC charges for offering off-exchange, event-based binary options contracts and for failing to obtain designation as a designated contract market or registration as a swap execution facility.
The UK Financial Conduct Authority announced that as of January 4, 2022, the publication of LIBOR settings has ended on (i) all euro and Swiss francs, (ii) the overnight/spot next, one-week, two-month and 12-month sterling and Japanese yen, and (iii) the one-week and two-month U.S. Dollar.
A FINRA-registered representative settled charges for suitability rule violations.