FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements
CFTC Staff Issues Guidance Regarding Risk Assessment of Customer Accounts for Futures Commission Merchants
NFA Issues Notice Regarding Effective Date of NFA’s Swap Dealer Capital Requirements
SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers
FINRA Provides Additional FINRA Exams Online
2021 GASB Accounting Support Fee to Fund the GASB’s Annual Budget
SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D
CFTC Chairman Tarbert Issues Statement on the Use of Staff Letters and Guidance
CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation
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