The FRB is required to provide notice of aggregate global indicator amounts under its rule on risk-based capital surcharges for GSIBs.

BlackRock Inc. agreed to pay a $340,000 penalty to settle SEC charges alleging violations of the whistleblower provisions of the Dodd-Frank Act by entering into separation agreements that required employees to waive the ability to obtain whistleblower awards.

The House of Representatives voted 236-178 to approve the Accelerating Access to Capital Act of 2015 (H.R. 2357).

IOSCO approved the Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information ("EMMoU").

BCBS, CPMI & IOSCO request comment on margin practices report. FTC restores Prior Approval Policy for merger restrictions.

The MSRB published criteria for designating registrants that must participate in the MSRB's business continuity and disaster recovery testing.

The MSRB published criteria for designating participants in the next mandatory functional and performance tests of the MSRB's business continuity / disaster recovery ("BC/DR") plans.

The MSRB published an investor's guide to help potential 529 savings plans account owners and contributors understand how the plans function and how to make informed investment decisions.

The MSRB requested comments on draft rule amendments that would (i) clarify the requirement for dealers to obtain CUSIPs for new issue securities sold in private placements, and (ii) subject a municipal advisor...

The North American Securities Administrators Association ("NASAA") advised market participants of the risks and potential tax benefits associated with investments in "opportunity zones."

The North American Securities Administrators Association ("NASAA") expanded its Electronic Filing Depository System to accommodate ...

The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams

Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.

NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.

The Board of Directors of the National Futures Association ("NFA") named Thomas Sexton to replace Daniel Roth as NFA President and CEO, effective March 1, 2017.

The NFA notified member firms of an opening on its Board of Directors from the CPO/CTA category.

Law360, New York (December 20, 2013, 10:42 AM ET) -- Nearly a decade ago, the United States Supreme Court in Dura Pharmaceuticals Inc. v. Broudo, 544 U.S. 336, 345 (2005), emphasized that a securities fraud suit is not an investor’s insurance policy against market losses.

SEC proposes to require extensive disclosures on securities loans

SEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs.

The Office of the Comptroller of the Currency and the FDIC (collectively, the "agencies") adopted a final rule that will shorten the standard settlement cycle for securities transactions...