The MSRB proposed amendments to its dealer supervision requirements that would exclude certain public finance activities from the definition of a supervisory office and extend the time associated persons can work from non-primary residences.
News & Insights
The Commodity Futures Trading Commission's Division of Market Oversight warned designated contract markets against self-certifying broad, template event contracts that bundle multiple permutations with differing settlement sources.
The Financial Crimes Enforcement Network issued an alert to help financial institutions detect and report fraud that targets federal student aid programs.
The CFTC extended the comment deadline on its request for comment on extending standard futures to 24/7 trading and on perpetual contracts referencing physically delivered or storable energy commodities, moving it from July 27, 2026, to August 26, 2026.
A broker-dealer settled FINRA charges for failing to conduct reasonable reviews of execution quality and failing to reasonably supervise for best execution.