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FINRA Seeks Comment Regarding Diversity and Inclusion Initiatives

May 7, 2021

FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements

May 7, 2021

CFTC Staff Issues Guidance Regarding Risk Assessment of Customer Accounts for Futures Commission Merchants

April 2, 2021

NFA Issues Notice Regarding Effective Date of NFA’s Swap Dealer Capital Requirements

April 2, 2021

SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers

February 26, 2021

FINRA Provides Additional FINRA Exams Online

February 26, 2021

2021 GASB Accounting Support Fee to Fund the GASB’s Annual Budget

February 26, 2021

SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D

October 30, 2020

CFTC Chairman Tarbert Issues Statement on the Use of Staff Letters and Guidance

October 30, 2020

CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation

October 30, 2020

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