FINRA New Rule 3241 Becomes Effective February 15
On February 15, Financial Industry Regulatory Authority (FINRA) new Rule 3241 — “Registered Person B ...View More
FINRA Proposes Amendments to Private Placement Filer Form
On January 27, FINRA proposed amendments to its Private Placement Filer Form (Filer Form), which mem ...View More
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report
On February 4, the Securities and Exchange Commission published a request for public comment (Commen ...View More
European Commission Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties
On January 27, Allison Herren Lee, the acting chair of the Securities and Exchange Commission, annou ...View More
FCA Publishes SEC MoU on Financial Services Supervision Post-Brexit
On January 22, the UK’s Financial Conduct Authority (FCA) published an amended and restated memorand ...View More
Annual Verification in the FINRA Contact System Due January 27
The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annu ...View More
CFTC Staff Provides Limited Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19
On January 19, the Commodity Futures Trading Commission’s Market Participants Division (MPD) and Div ...View More
Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations
On January 19, the National Futures Association (NFA) issued Notice to Members 1-21-03, announcing t ...View More
Advertising by Adpathway
