The Alternative Reference Rates Committee commended New York State Governor Andrew Cuomo's signing of legislation meant to reduce potential disputes and market disruption associated with the transition away from LIBOR.
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A firm settled FINRA charges for failing to establish a supervisory system designed to monitor employees' outside brokerage accounts.
The CFPB proposed delaying, from November 30, 2021 to January 29, 2022, the effective date of amendments to regulations under the Fair Debt Collection Practices Act.
A firm settled FINRA allegations for charging excessive commissions on certain transactions in equity securities, in violation of FINRA's "5% policy" around markups.
Senate Finance Committee Chair Ron Wyden (D-OR) intends to introduce a broad "mark-to-market" bill later this year that would require certain taxpayers to pay an annual tax on any unrealized gain on assets.