OFAC issued three general licenses authorizing through June 17, 2022 certain activities with Syria, Venezuela and Iran in response to the COVID-19 pandemic.
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22388 News Results
A firm settled FINRA charges for failing to implement a supervisory system to ensure that firm employees' outside brokerage accounts were timely and sufficiently monitored.
U.S. House Financial Services Committee Chair Maxine Waters set up a Digital Assets Working Group made up of Democratic Members to develop "legislation and policy solutions" on issues emerging in the digital asset space.
Sixteen State Attorneys General challenged the SEC's authority to mandate climate-related disclosures where the required disclosures are not material to the economic value of the issuer's securities.
The SEC, the North American Securities Administrators Association and FINRA created a training program to help firms in their implementation of the training requirements under the Senior Safe Act.