A FINRA proposal to extend exemptions to certain small broker-dealers from the Order Audit Trail System was published in the Federal Register.
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22403 News Results
A CFPB proposal to change the definition of qualified mortgage under the Truth in Lending Act and the Ability to Repay/Qualified Mortgage Rule was published in the Federal Register.
The North American Securities Administrators Association advised broker-dealers to review sales practices for non-traditional exchange-traded funds, warning that these products pose unique risks.
CFTC Commissioner Dan Berkovitz expressed concerns about the concentration in clearing services and the systemic risk resulting from the materially reduced number of futures commission merchants.
IOSCO urged market participants to assess their exposure in preparation for USD LIBOR's anticipated cessation.