CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases
Gary Gensler Names Initial Senior Staff Members
Alex Oh Named SEC Director of Enforcement
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
FINRA CAT Production Readiness Certification Deadline
FINRA Requests Comment on Proposed Amendments to Margin Rule 4210
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