Commentary by Steven Lofchie
In remarks at a national security forum, SEC Chair Gary Gensler highlighted gaps in the regulation of cryptocurrencies that raise AML concerns and put investors at risk.
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22388 News Results
Commentary by Steven Lofchie
The MSRB appointed new members to its Board of Directors. They will begin their four-year terms on October 1, 2021.
A full-service broker-dealer firm settled NYSE charges for routing competing orders for the same security at the same price, for the account of the same principal, to two different floor brokers.
At a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs, regulators from the National Credit Union Administration, the FDIC and the OCC testified on current agency priorities and challenges.
The CFPB confirmed that the effective date of two final rules on debt collection communications remains November 30, 2021. The agency will withdraw an April 2021 proposal that would have extended the effective date to January 29, 2022.