In discussion paper, ISDA reviewed “issues market participants may need to consider from a commercial, operational, regulatory, and legal perspective when transacting in sustainability linked derivatives.”
News & Insights
22379 News Results
SIFMA called on the SEC to slow down its rulemaking processes and prioritize rule proposals that address the most pressing needs in the market. SIFMA urged the SEC to finalize a rule proposal to change the cybersecurity risk management protocols for the Consolidated Audit Trail.
A broker-dealer settled parallel charges brought by NYSE Arca, Inc. and NYSE American LLC for origin code reporting failures and related supervisory and monitoring deficiencies.
A securities broker settled FINRA charges for failing to timely report the sale of private placements by its registered representatives.
A California-based broker-dealer settled FINRA charges for failing to maintain adequate supervisory protocols regarding outside business activities and private securities transactions and for failing to comply with a FinCEN mandated audit.