Commentary by Steven Lofchie
FINRA requested comments on a proposal that would restrict certain associated persons from acting as beneficiaries, or as executors or trustees, on behalf of or for a customer.
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22399 News Results
Commentary by Steven Lofchie
The CME Group will make available for trading options on Bitcoin futures contracts beginning on January 13, 2020, pending regulatory review.
The SEC approved changes to an MSRB interpretive notice concerning the conduct of municipal securities underwriting activities.
FINRA reminded broker-dealers of upcoming due dates for required filings in 2020 and the first quarter of 2021.
The Federal Reserve Board proposed extending the single-counterparty credit limit compliance dates for foreign banking organizations.