SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors April 30, 2021
Upcoming Effective Date of FINRA Rules Regarding Brokers With a Significant History of Misconduct April 30, 2021
NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers March 26, 2021
FINRA Releases Regulatory Notice on Policies and Procedures Relating to Fraud Involving Low-Priced Securities February 12, 2021
CFTC Staff Provides Temporary Relief to Futures Commission Merchants Regarding Certain SOFR-Linked Investments January 8, 2021
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements January 8, 2021
CFTC Unanimously Approves Final Rules Related to SEFs and Withdraws Comprehensive Proposals December 11, 2020
CFTC Unanimously Approves Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants December 11, 2020