The DOL extended certain enforcement relief under a new temporary policy on prohibited transactions rules applicable to investment advice fiduciaries.
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22383 News Results
A broker-dealer settled FINRA charges for failing "to establish, maintain, and enforce a supervisory system reasonably designed to supervise mutual fund and cross-product switches."
A broker-dealer settled Cboe BZX, C2 and EDGX charges for origin code violations and related supervisory violations.
The OTC Bulletin Board will shut down and FINRA will delete OTCBB-related rules on November 8, 2021.
The FDIC adopted amendments to incorporate the October 2020 revised community bank leverage ratio rule with the Interagency Guidelines for Real Estate Lending Policies.