A firm settled NYSE Arca charges for failing to maintain sufficient erroneous order controls and related written supervisory procedures.
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The CFTC's Market Participants Division updated its 2015 FAQs on additional reporting by commodity pool operators and commodity trading advisors to reflect the October 2020 adoption of amendments to both the rule and the form.
An OCC final rule that codifies an exception to the withdrawal period for banks that administer a collective investment fund primarily invested in real estate or other non-readily marketable assets was published in the Federal Register.
The U.S. House Financial Services Subcommittee on Oversight and Investigations considered testimony from three nationwide consumer reporting agencies on their compliance with the Fair Credit Reporting Act and the accuracy of credit reports.
In remarks at the 40th Annual Government-Business Forum on Small Business Capital Formation, SEC Commissioner Hester M. Peirce outlined recommendations on facilitating capital formation.