The NFA Business Conduct Committee charged a registered independent introducing broker with failing to (i) maintain the required minimum adjusted net capital, (ii) file telegraphic notice...

Women in Fund Finance U.S. is hosting a virtual panel on "Navigating ESG Communications: Strategies for Challenging Times" this Tuesday, February 28 at 11 a.m. EST.

ISDA updated its global calendar of compliance deadlines and regulatory dates for OTC derivatives.

The Managed Funds Association ("MFA") hired Mark Epley to serve as executive vice president and general counsel.

Each course provides real-world simulations that help financial professionals and members of the public understand municipal securities transactions, as well as related market and regulatory considerations.

The SEC named Robert Evans III as Deputy Director of its Division of Corporation Finance. Mr. Evans will be a senior advisor to Division Director William Hinman.

NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner

The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.

The Office of the Comptroller of the Currency ("OCC") laid out updated guidelines and procedures by which the agency implements its authority under Section 38 of the Federal Deposit Insurance Act.

The Office of the Comptroller of the Currency ("OCC") updated the "Truth in Lending Act" (Regulation Z) booklet of the Comptroller's Handbook.

Even amongst a battle of supply and demand between GPs and the banks, subscription lines of credit remain resilient.

The SEC Division of Corporation Finance designated a New Zealand stock exchange as a "designated offshore securities market" under Securities Act Regulation S, Rule 902(b).

The Drawdown has announced an awards program to acknowledge "the most influential members of the fund finance market." The awards aim to highlight innovation, creativity...

The original expiration date was April 15, 2018.

The Board of Governors of the Federal Reserve System extended the comment period for an advance notice of proposed rulemaking regarding the regulatory capital requirements for supervised institutions engaged in insurance activities.

REF News & Views readers, as the holiday season approaches, we want to take a moment to express our gratitude for your continuous support throughout the year.

An upcoming SEC Equity Market Structure Advisory Committee ("EMSAC") meeting will focus on a Potential Access Fee Pilot program, recommendations related to market quality and market structure issues, and updates from the various subcommittees.

President-elect Donald J. Trump announced that former New York City Mayor Rudolph Giuliani will act as an adviser to the White House on cybersecurity matters.

The SEC announced that Christopher Hetner will continue to serve as Senior Cybersecurity Policy Advisor under SEC Chair Jay Clayton. Mr. Hetner served in that capacity under former Chair Mary Jo White.

The Senate Banking Committee will meet on October 4, 2017 to discuss the recent Equifax cybersecurity breach.