The FDIC rescinded four "outdated" Statements of Policy as part of the agency's effort to reduce the regulatory burden on market participants.
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The FDIC and the Federal Reserve Board extended their request for feedback on the use and effectiveness of ratings assigned under the Uniform Financial Institutions Rating System.
A firm settled FINRA charges for inaccurately coding options orders submitted by customers on the firm's online trading platform.
The CFTC-proposed rule prohibiting "post-trade name give-up" at swap execution facilities was published in the Federal Register.
FINRA modified a proposal to amend the "Underwriting Terms and Arrangements" provisions of the "Corporate Financing Rule" to make "substantive, organizational and terminology" changes.