New SRO rules and rule proposals were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from February 29 to March 4.
News & Insights
22403 News Results
FINRA seeks comment on proposed amendments to rules shortening the standard settlement cycle for securities in the U.S. secondary market from T+3 to T+2.
The NFA updated its regulatory requirements for futures commission merchants, introducing brokers, commodity pool operators and commodity trading advisors by adding material relating to Cybersecurity.
The CFTC Division of Swap Dealer and Intermediary Oversight and the Office of the Chief Economist hosted a public roundtable to discuss a report on the Residual Interest Deadline.
FINRA summarized the latest notices, compliance resources, education and news in a podcast covering developments in February 2016.