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Financial Services Group Executive Vice President Roseanne Stichnoth announced that she will retire in August of 2016.

The NFA appointed Carol Wooding Vice President, General Counsel and Secretary.

The National Futures Association ("NFA") Business Conduct Committee charged a commodity trading advisor with providing materially false and misleading disclosure documents to customers...

NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner

The NFA announced that starting with its election of Board of Directors members in 2017, NFA will replace current paper ballots with an electronic voting system.

NMLS Ombudsman Virtual Meeting Summary.

On February 6, the staff of the SEC’s Division of Investment Management issued a no-action letter with respect to Rule 3c-5 of the Investment Company Act of 1940 that represents a substantial improvement over the existing guidance regarding the definition of "knowledgeable employees" thereunder.

On November 30, 2016, the U.S. Commodity Futures Trading Commission‘s Division of Swap Dealer and Intermediary Oversight provided no-action relief to FCMs and introducing brokers (IBs).

The Federal Reserve Bank ("FRB") of New York Executive Vice President Richard Dzina discussed the current state of cyber resilience and operational security ...

The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.

. These stress tests are mandated by Dodd-Frank Act Section 165(i)(2). In addition, the FRB issued summary instructions in a 2017 Comprehensive Capital Analysis and Review.

The Office of the Comptroller of the Currency ("OCC") laid out updated guidelines and procedures by which the agency implements its authority under Section 38 of the Federal Deposit Insurance Act.

On September 13, 2016, Comptroller of the Currency Thomas J. Curry discussed marketplace lending's risks and associated policy questions. He delivered his remarks at the inaugural Marketplace Lending Policy Summit

On May 24, the OCC, Federal Reserve and Federal Deposit Insurance Corporation (FDIC) published a notice of proposed rulemaking

On February 8, the OCC, the Federal Reserve Board and the FDIC issued a notice of proposed rulemaking that would provide a simplified measure of capital adequacy for qualifying community banking organizations consistent with section 201 of the EGRRCPA.

On July 11, 2016, the Office of the Comptroller of the Currency issued its semiannual report on risks faced by national banks and federal savings associations, using data through December 31, 2015.

The Office of the Comptroller of the Currency ("OCC") supplemented its guidance on agency procedures for examining the risk management of third-party relationships entered into by national banks and federal savings associations.