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This Thursday, July 24th, the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing with Keith Higgins.

On August 20, the Financial Stability Board (FSB) published responses to its consultation in respect of proposed reforms in the forex market.

On October 30, 2014, the FSB published its fourth annual Global Shadow Banking Monitoring Report.

On February 4, the Financial Stability Oversight Council today announced changes to certain practices relating to its process for reviewing nonbank financial companies for potential designation.

On March 16, FinCEN announced the creation of the Kleptocracy Asset Recovery Program, which is aimed at offering rewards to people who provide information to the U.S. government...

The Financial Crimes Enforcement Network announced the assessment of a $37.5 million civil money penalty against TD Bank, N.A. for failure to file suspicious activity reports related to the massive Ponzi scheme orchestrated by Florida attorney Scott Rothstein.

This week, FinCEN published an advance notice of proposed rulemaking for a rule implementing the beneficial ownership reporting provisions of the Corporate Transparency Act.

The FINRA Investor Education Foundation announced a new prize program to recognize outstanding service and research to advance investor protection and financial capability.

FINRA encouraged firms to be more engaged in the work of the self-regulatory organization and described the process for filling vacancies on FINRA committees and boards.

FINRA proposed non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers").

The proposed rule change also makes corresponding changes intended to improve the discovery process.

FINRA filed a rule change that would waive Trade Reporting and Compliance Engine ("TRACE") fees assessed initially for member firms as the result of the required re-reporting of certain transactions...

FINRA issued a notice providing members with guidance on customer communications with respect to departing registered representatives.

FINRA provided guidance to help firms review and reconcile their 2020 final statements made available in E-Bill.

In its June disciplinary report, FINRA recapped actions taken against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws, rules and regulations.

In its May disciplinary report, FINRA recapped the actions taken against member firms and individuals for violations of FINRA rules, the MSRB rules, and federal securities laws, rules, and regulations.

In its December disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.