A broker-dealer settled FINRA charges for knowingly permitting an individual to operate as a unregistered principal.
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Federal Reserve Board Governor Christopher J. Waller questioned whether the Federal Reserve should "'get in the game' and issue a central bank digital currency that the general public could use."
The OCC "true lender rule" was removed from the Code of Federal Regulations, effective immediately.
ISDA, the International Capital Market Association and the International Securities Lending Association signed a memorandum of understanding intended to enhance collaboration for the development of a "Common Domain Model."
An investment banking and broker-dealer firm settled FINRA charges for failing to file and failing to timely file notifications under SEC regulations prohibiting manipulation of securities offerings.