11,460 results found

FinCEN seeks comment on additional AML regulations for real estate transactions. NFA adds questions on crypto and micro futures contracts to annual questionnaire. OCC reports on federal banking system risks.

SAFE Banking Act removed from Federal Defense Spending Bill. FINRA proposes fee limits on proxy distributions. House Committee considers competing regulatory approaches to cryptocurrency.

The U.S. District Court for the District of Nebraska (the "Court") granted a motion for the class certification of a claim against a broker-dealer for mishandling customer orders.

In an article posted on the Liberty Street Economics blog of the Federal Reserve Bank of New York ("NY Fed"), authors James Vickery and April Meehl concluded that the latest NY Fed Report Quarterly Trends...

The amendments go into effect on March 1, 2021, with a mandatory compliance date of July 1, 2021.

The amendments will go into effect on February 24, 2021.

CPOs are required to file a revised form CPO-PQR for the first calendar quarter of 2021.

A CFTC final rule delaying the compliance date for "Phase Six" of the initial margin requirements was published in the Federal Register.

The final rule will go into effect on February 17, 2021.

CFTC amendments to swap clearing exemptions, including expanded exemptions for sovereign entities and small banking entities, were published in the Federal Register.

The final rule will go into effect on May 12, 2021.

A CFTC final rule amending the conditions under which non-U.S. CPOs qualify for exemption from registration under CFTC Rule 3.10(c) ("Registration Requirements for Different Types of Firms") was published in the Federal Register.

A CFTC final rule amending the period for the calculation of the average aggregate notional amount ("AANA") for purposes of scoping firms subject to initial margin requirements was published in the Federal Register.

A CFTC final rule updating the swap execution facility regulatory regime was published in the Federal Register. The final rule will go into effect on February 16, 2021.

The exemptions will go into effect on March 15, 2021.

An FDIC revised statement of policy regarding minority depository institutions that "updates, strengthens and clarifies" existing policies was published in the Federal Register.

A Federal Reserve Board, OCC and FDIC joint final rule that will limit the interconnectedness of large banks and reduce systemic risk was published in the Federal Register.