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Searching Content by Steven Lofchie ordered by Published Date Descending.
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1
FINRA Extends Effective Date Of Margin Requirements For Covered Agency Transactions
FINRA extended the effective date of the margin requirements for Covered Agency Transactions, including "to-be-announced" ("TBA") transactions and other forward-settling agency securities transactions
United States
19 Feb 2019
2
FINRA Provides Guidance On Use Of Pre-Inception Index Performance Data In Institutional Communications
FINRA staff provided interpretive guidance on FINRA Rule 2210, which imposes certain requirements on institutional communications.
United States
18 Feb 2019
3
Senator Elizabeth Warren Questions Federal Reserve Board On Bank Merger Approvals
Ms. Warren requested answers to her questions on the factors underlying increased bank M&A activity by February 21, 2019.
United States
15 Feb 2019
4
CFPB Proposes Rescinding Provisions Of Payday Lending Rule
The Consumer Financial Protection Bureau ("CFPB") proposed rescinding the mandatory underwriting provisions of a final rule governing "Payday, Vehicle Title and Certain High-Cost Installment Loans."
United States
15 Feb 2019
5
MSRB Identifies Rules For 2019 Retrospective Rule Review
The MSRB identified rules it plans to analyze in 2019 as part of an ongoing retrospective rule review process.
United States
12 Feb 2019
6
FDIC Chair Jelena McWilliams Highlights Policies To Serve Underbanked Customers
Under the CFPB's prior administration the CFPB adopted rules that would have significantly discouraged such lending.
United States
8 Feb 2019
7
NYDFS Superintendent Reminds Firms Of Final Implementation Date For Cybersecurity Regulation
New York State Department of Financial Services ("NYDFS") Superintendent Maria Vullo reminded NYDFS-regulated entities that they must be in full compliance ...
United States
7 Feb 2019
8
FINRA Proposes One-Year Delay Of TBA Margin Requirements
The current filing seeks immediate effectiveness of the rule proposal upon its publication by the SEC.
United States
5 Feb 2019
9
FINRA Finds High Broker-Affiliated ATS Order Routing Is Linked With Lower Fill Rates
FINRA's Office of the Chief Economist ("OCE") found that brokers that route orders to affiliated alternative trading systems ("ATSs") at high rates obtain lower fill rates.
United States
4 Feb 2019
10
FINRA Urges Self-Reporting Of 529 Savings Plans Violations
FINRA launched a new self-reporting initiative to promote firm compliance with suitability requirements related to transactions in 529 savings plans.
United States
4 Feb 2019
11
Ranking Member Of The House Financial Services Committee Offers Republican List Of Hearing Priorities
Ranking Member of the House Financial Services Committee ("HFSC") Patrick McHenry (R-NC) offered to cooperate with new Chair Maxine Waters on a list of priorities affecting the U.S. financial system.
United States
30 Jan 2019
12
House Financial Services Committee Chair Maxine Waters Introduces Bill To Study Rule 10b5-1 Trading Plans
Financial Services Committee Chair Representative Maxine Waters (D-CA) introduced a bill to require that the SEC conduct a study on the operation of Rule 10b5-1 plans ...
United States
25 Jan 2019
13
FINRA Fines CCO For Failing To Supervise Firm's President
FINRA fined a broker-dealer ("BD") and its vice president for failing to supervise the BD's president regarding the sale of securities in a series of private placements.
United States
24 Jan 2019
14
FINRA Sanctions Owner Of Broker-Dealer For Acting As Unregistered Principal
FINRA suspended and fined a broker-dealer, and barred from associating with any FINRA member firm the CEO of the broker-dealer's parent corporation,
United States
10 Jan 2019
15
FSOC Recommends Additional Steps To Ensure U.S. Financial Stability
In a 2018 Annual Report, the Financial Stability Oversight Council ("FSOC") recommended that financial regulatory agencies take additional steps to ensure U.S. financial stability.
United States
4 Jan 2019
16
FINRA Reviews Information-Security Controls
FINRA's new Report on Selected Cybersecurity Practices - 2018 (the "Report") is one of FINRA's latest initiatives to help broker-dealers further enhance their cybersecurity programs.
United States
3 Jan 2019
17
SEC Officials Highlight Requests To Improve ESG Disclosures And Arbitration Process
SEC Chair Jay Clayton and SEC Commissioner Kara M. Stein highlighted (i) the increasing number of investor requests for improved environmental, social and governance ("ESG") disclosures,
United States
19 Dec 2018
18
NFA Proposes To Apply NFA Compliance Rules To Swaps
The National Futures Association ("NFA") proposed amendments to NFA Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
United States
18 Dec 2018
19
President Trump To Nominate Heath P. Tarbert As Next CFTC Chair
President Donald J. Trump intends to nominate Heath P. Tarbert to be CFTC Chair for a five-year term starting on April 14, 2019. Mr. Tarbert is currently U.S. Treasury Department ("Treasury") Assistant Secretary for International Markets.
United States
18 Dec 2018
20
Swap Execution Facilities, The Sequel
The CFTC issued a release that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules to the trading of swaps and to the market‑places that offer "exchange trading"...
United States
17 Dec 2018
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