FINRA summarized its latest news, regulatory notices, guidance and resources in the May 2017 edition of its Monthly Recap Podcast.
News & Insights
The Federal Housing Finance Agency issued a final rule amending regulations to allow certain state-chartered credit unions to obtain Federal Home Loan Bank memberships without having federal share insurance.
The SEC charged a brokerage firm with anti-money laundering violations involving repeated failures to report suspicious activity.
The CFTC filed suit in a U.S. District Court against a foreign-based company for operating as an unregistered retail foreign exchange broker and making material misrepresentations to customers.
Beginning on June 21, 2017, SIFMA's Credit and Margin Section will host its two-day Annual Conference at the Mills House Grand Wyndham Resort in Charleston, South Carolina. The conference will include presentations from margin practitioners and industry specialists.