The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs"). The technical correction, which amends a citation in Form ATS-N, is effective as of November 13, 2018.
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In a Risk Alert, the SEC Office of Compliance Inspections and Examinations provided information on a series of examination initiatives being conducted on mutual funds and exchange-traded funds.
The U.S. Department of the Treasury Office of Foreign Assets Control extended certain General Licenses concerning Ukraine-related entities on the Specially Designated Nationals and Blocked Persons list.
In the inaugural issue of Supervision and Regulation Report, the Federal Reserve Board summarized current banking conditions and supervisory and regulatory activities.
A money transfer company agreed to settle charges for failing to implement previously prescribed Federal Trade Commission and DOJ anti-money laundering and fraud prevention compliance programs.