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In this installment of our Finance Forum Focus Series, Cadwalader partners Lary Stromfeld and Jeffrey Nagle discuss the latest #LIBOR transition developments...

Leading financial services industry participants and lawmakers from Congress examined the role of the capital markets in funding green initiatives at a SIFMA roundtable.

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

FINRA appointed Robert W. Cook as its President and CEO. His term will begin during the second half of 2016.

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.

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

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

FINRA released, for the first time, aggregate data on the trading volume of Treasury securities reported to the Trade Reporting and Compliance Engine ("TRACE").

FINRA notified firms that their Final Statements are available for review in the E-Bill system.