Commentary by Bob Zwirb
The CFTC provided guidance for swap dealers, futures commission merchants and major swap participants on annual compliance report requirements.
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Commentary by Bob Zwirb
A broker-dealer settled FINRA charges for engaging in a pattern of "displaying, locking or crossing" quotations in connection with OTC equity securities.
A broker-dealer and general securities representative settled FINRA charges for failing to establish and enforce supervisory procedures to prevent unsuitable and excessive trading.
The House Financial Services Committee considered Financial Stability Oversight Council recommendations to mitigate risks in the financial markets and testimony by Treasury Secretary Steven Mnuchin.
The House Financial Services Committee considered (i) testimony from federal banking regulators on a broad range of concerns and (ii) several proposed bills imposing additional requirements on financial institutions.