11,460 results found

The FINRA proposal making non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers") was published in the Federal Register.

The FRB adopted a final total loss-absorbing capacity ("TLAC") rule that requires U.S. top-tier bank holding companies, which are identified as global systemically important banking organizations.

The Federal Reserve Board ("FRB") final amendments to a policy statement on the scenario design framework for stress testing were published in the Federal Register.

The Federal Reserve Board ("FRB") proposal to raise the threshold for bank holding companies and savings and loan holding companies, subject to Regulation TT assessments, was published in the Federal Register.

The Federal Reserve Board ("FRB") rule proposal to amend the FRB's company-run stress test and supervisory stress test rules was published in the Federal Register (see here for previous coverage).

The Federal Reserve Board ("FRB") request for feedback on amending Regulation D ("Reserve Requirements of Depository Institutions") ...

The Federal Trade Commission ("FTC") increased the fees for telemarketing businesses seeking access to the National Do Not Call Registry ("Registry") ...

U.S. prudential regulators, including the Federal Reserve Board, Office of the Comptroller of the Currency, FDIC, Farm Credit Administration and the Federal Housing Finance Agency

The SEC adopted a final rule to impose additional liquidity risk requirements by open-end funds, such as mutual funds and exchange-traded funds.

The SEC adopted a final rule to permit mutual funds to use "swing pricing," which allows funds to redeem investors' holdings at prices that are lower than the going market value of the funds' assets...

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).

The SEC approved a FINRA proposal to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date ("T+3") to two business days ("T+2").

The SEC Order that extends temporary relief exempting security-based swap activity from various provisions of the federal securities laws was published in the Federal Register.

The SEC proposed a new rule requiring SEC-registered investment advisers to implement written business continuity and transition plans.

The SEC requested comments on a FINRA proposal that would implement an "anonymous, grouped masking methodology" in order to address confidentiality concerns...

The U.S. Treasury Department Office of the Assistant Secretary for Financial Markets amended certain government securities broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.

U.S. Treasury Department ("Treasury") final rules on reporting certain information in the U.S. repurchase agreement market to the Office of Financial Research ("OFR") ...

The Board of Governors of the Federal Reserve System (the "FRB") voted to affirm the Countercyclical Capital Buffer (CCyB) at the current reserve level of zero percent.