The FDIC appointed Zunera Mazhar as Deputy Director for the Office of Innovation.
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22393 News Results
A firm operating a NYSE floor broker business settled NYSE charges for failing to detect that the firm's floor brokers entered competing orders associated with the same parent order.
A firm settled FINRA charges for failing to (i) establish a reasonable supervisory system over potentially manipulative activity and customer credit limits, (ii) document review of the firm's market access risk management controls and (iii) accurately transmit information to the Order Audit Trail System.
A joint OCC, Federal Reserve Board and FDIC proposal to establish requirements for tax allocation agreements between institutions and their holding companies in a consolidated tax filing group was published in the Federal Register.
An FDIC-proposed rule to strengthen the agency's enforcement authority against "any person or organization . . . making misrepresentations about FDIC deposit insurance or misusing the FDIC's name or logo" was published in the Federal Register.