A broker dealer settled FINRA charges for supervisory violations over the firm's variable universal life insurance contracts and mutual fund business.
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SIFMA raised concerns on a MSRB-proposed rule to codify previously issued interpretive guidance on conduct requirements applicable to solicitor municipal advisors.
OFAC authorized certain transactions involving the State Security Committee of the Republic of Belarus that are necessary for the importation, distribution or use of information technology products.
FINRA set September 1, 2021 as the effective date for the elimination of the Order Audit Trail System rules.
In comments on FINRA's proposed amendments to rules governing margin on "To Be Announced" and other "Covered Agency Transactions," SIFMA, SIFMA's Asset Management Group and the Bond Dealers of America addressed the cost, competitive impact and implementation timing of the proposal.