The Options Clearing Corporation settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
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SEC Chair Jay Clayton asserted that the SEC's recent guidance and interpretation on proxy voting "embody two fundamental tenets."
The SEC Office of Compliance Inspections and Examinations urged investment advisers to review written policies and procedures to maintain compliance with principal trading and agency cross transaction provisions.
Federal Reserve Board Vice Chair for Supervision Randal K. Quarles proposed modifying the FRB's stress testing regime in response to public feedback.
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.