Two broker-dealers settled FINRA charges for failing to waive mutual funds sales charges for eligible customers.
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CFTC Chair Heath P. Tarbert named several significant appointments.
In anticipation of clarifying the treatment of qualifying foreign excluded funds under the Volcker Rule, banking agencies will not take action against foreign banking entities for a two-year period ending on July 21, 2021.
Members of the U.S. House Committee on Financial Services considered testimony on the potential impact of Facebook's proposed cryptocurrency on consumers, investors and the global financial system.
A CPO and its principal settled NFA charges for making improper loans and advances of pool assets.