FINRA proposed amendments to harmonize a FINRA rule on customer account statements with a Temporary Dual FINRA-NYSE rule and interpretation on customer account statements.
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22388 News Results
Amendments to NFA financial requirements for swap dealers concerning the use of models to compute net capital will go into effect on October 6, 2021.
The MSRB released its fiscal year 2022-2025 strategic plan for improving and protecting the municipal securities market.
The SEC, the MSRB and FINRA will be offering a 2021 Compliance Outreach Program for municipal advisors. The program is scheduled for October 7, 2021.
The SEC charged a former information technology manager of a pharmaceutical company with trading on material nonpublic information.