In a joint statement, the Federal Reserve Board, the CFPB, the FDIC, the National Credit Union Administration and the OCC, as well as state bank and credit union regulators, emphasized the importance of continued progress in transitioning away from LIBOR.
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22383 News Results
SEC Commissioner Elad L. Roisman reviewed the existing SEC regulatory frameworks for the handling of retail orders - including payment for order flow, best execution, execution quality measurements and public price discovery - and suggested potential improvements.
A broker-dealer settled FINRA charges for violating rules on prohibited conditions relating to the expungement of customer disputes.
A broker-dealer settled FINRA charges for net capital deficiencies, failing to notify the SEC or FINRA of the deficiencies in a timely manner, and inaccurate recordkeeping.
In a new report, the SEC reviewed regulatory issues involving GameStop trading in January 2021.