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NFA Proposes Amendments To Expand Applicability And Substance Of Marketing Rules
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
United States
9 Sep 2019
Volcker 2.0
For top-tier U.S. banking organizations, this calculation is based on worldwide trading assets and liabilities.
United States
27 Aug 2019
FTC Adopts Rules Implementing Free Credit Monitoring For Active-Duty Military Consumers
The FTC adopted several rules that will require nationwide consumer reporting agencies ("CRAs")
United States
8 Jul 2019
Federal Register: SEC Amends Regulation NMS To Require Additional Order-Handling Disclosures
The SEC final rule amending Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock" was published in the Federal Register (see previous coverage).
United States
22 Nov 2018
Federal Register: Bank Regulators Propose "Streamlined" Call Reports For Qualifying Small Institutions
The proposal by the FRB, the FDIC and the Office of the Comptroller of the Currency to reduce regulatory reporting requirements for eligible small depository institutions was published in the Federal Register.
United States
22 Nov 2018
FINRA Proposes Rule Change Regarding Qualification Exams
FINRA proposed a rule amendment to restrict access to representative- and principal-level qualification scores.
United States
4 Oct 2018
CFTC Grants CPO Delegation Relief To Unaffiliated Entities - September 14, 2018
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
United States
23 Sep 2018
FINRA Urges Firms To Review Contracts With Recordkeeping Service Providers
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
United States
23 Sep 2018
SEC Charges Broker For Misusing Access To Customers' Brokerage Accounts
The SEC filed charges against a New Jersey-based broker for allegedly misusing his access to customers' brokerage accounts to enrich himself and two of his family members at the expense of his customers.
United States
17 Sep 2018
Banking Regulators Say Supervisory Guidance Is Not A Basis For Enforcement Actions
Five federal regulators affirmed that the agencies will not take enforcement action based on supervisory guidance, as supervisory guidance does not "have the force and effect of law."
United States
13 Sep 2018
Federal Register: CFTC Amends Rules Governing CCO Duties And Annual Report Requirements
CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.
United States
9 Sep 2018
FINRA Updates AML Template For Small Firms
FINRA revised the template that small firms registered with FINRA may use in developing anti-money laundering ("AML") programs.
United States
6 Apr 2018
FinCEN Provides Additional Guidance On Upcoming Customer Due Diligence Requirements
The U.S. Treasury Department's Financial Crimes Enforcement Network issued a new set of FAQs in advance of the upcoming customer due diligence rule that goes into effect on May 11, 2018.
United States
5 Apr 2018
Gold Mining Corporation Settles FCPA Violations
A Canadian gold mining corporation agreed to settle SEC charges that the company failed to maintain adequate internal controls sufficient to prevent and detect illegal payments by two African subsidiaries.
United States
29 Mar 2018
SEC Extends Compliance Deadline For Open-End Fund Liquidity Risk Management Requirements
The SEC granted open-end funds additional time to comply with the liquidity risk management program's classification requirements under Investment Company Act Rule 22e-4.
United States
28 Feb 2018
CFTC Extends No-Action Relief To Certain DCOs From Reporting Obligations
The CFTC Division of Market Oversight granted a request from ISDA to extend time-limited no-action relief to certain entities from the requirement to report continuation ...
United States
23 Feb 2018
CFTC And UK Financial Conduct Authority Sign Fintech Collaboration Arrangement
The CFTC and the UK Financial Conduct Authority ("FCA") signed an agreement to facilitate collaboration, share information and support each other's FinTech initiatives.
22 Feb 2018
NASAA Survey Finds Millenials Most Vulnerable To FinTech Fraud
Millennials are most vulnerable to FinTech fraud, according to a new North American Securities Administrators Association Pulse Survey of securities regulators.
United States
20 Feb 2018
Bank To Pay Over $600 Million For BSA/AML Violations
U.S. Bancorp and its operating subsidiary, U.S. Bank, entered into agreements to pay $613 million to resolve allegations that U.S. Bank broke Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") rules.
United States
20 Feb 2018
CFTC Chair Reaffirms Support For Cross-Border Deference On Clearinghouse Regulation
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
United States
20 Feb 2018
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