FINRA provided guidance to member firms on reviewing and reconciling end-of-year Final Statements in E-Bill.
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22403 News Results
FINRA notified firms that on February 1, 2018, two new data reports for Trade Reporting and Compliance Engine eligible securities will be made available to subscribers.
Senate Finance Committee Chair Senator Orrin Hatch (R-UT) announced that he will not seek reelection when his term expires in 2018.
Two SEC staff reports on nationally recognized statistical rating organizations showed improved compliance and continued competition among credit rating agencies.
The Secretary of the Treasury proposed extending the compliance date for regulations implementing qualified financial contract recordkeeping requirements of certain non-bank financial companies that may pose systemic risk.