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1
Weekly Roundup Of Exchange Rules by Category - January 19, 2018
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 15 to January 19, 2018.
United States
23 Jan 2018
2
MSRB Proposes New Advertising Rule For Municipal Advisors And Updates To Dealer Advertising Rule
The MSRB filed with the SEC (i) a proposed new rule on advertising by municipal advisors and (ii) amendments to its rule on advertising by municipal securities dealers.
United States
23 Jan 2018
3
SEC Halts Cryptocurrency Fund Registration
The SEC Division of Investment Management (the "Division") advised funds that are investing significantly in cryptocurrency not to seek to register their securities or otherwise to sell securities in a public offering.
United States
23 Jan 2018
4
Banking Regulators Provide Guidance On Effects Of New Tax Law
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the "agencies") provided interagency guidance...
United States
22 Jan 2018
5
IOSCO Warns About Risks Associated With ICOs
IOSCO warned members about the risks associated with Initial Coin Offerings ("ICOs").
United States
22 Jan 2018
6
FINRA Publishes Guiding Principles And Operating Budget
FINRA published its operating budget and Financial Guiding Principles for 2018. Both documents were published for the first time in FINRA's history.
United States
22 Jan 2018
7
CFTC Chair Giancarlo Names Senior Counsel
CFTC Chair J. Christopher Giancarlo named Maggie Sklar as his Senior Counsel.
United States
19 Jan 2018
8
CFPB To Reconsider Payday Lending Rule
While the Payday Rule became effective on January 16, 2018, compliance with most provisions of the rule is not required until August 19, 2019
United States
19 Jan 2018
9
FINRA Publishes Content Outline For Securities Industry Essentials Exam
FINRA released a content outline for the new Securities Industry Essentials ("SIE") examination.
United States
17 Jan 2018
10
Weekly Roundup Of Exchange Rules By Category January 12, 2018
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
United States
16 Jan 2018
11
New SEC Commissioners Sworn In
Robert J. Jackson Jr. and Hester M. Peirce were sworn in as SEC Commissioners. Commissioners Jackson and Peirce were confirmed by the U.S. Senate on December 21, 2017.
United States
16 Jan 2018
12
Reg. Tracker: January 1 To January 15
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
United States
15 Jan 2018
13
SEC Names Deputy Chief Economist
The SEC named Dr. Timothy Timura as Deputy Director and Deputy Chief Economist in the Division of Economic and Risk Analysis. Dr. Timura will work with SEC Chief Economist Jeffrey H. Harris on economic policy...
United States
15 Jan 2018
14
FINRA Updates Interpretations Of Certain Rules Concerning T+2 Settlement Cycle
FINRA updated certain interpretations of Financial and Operational Rules relevant to the revised standard settlement cycle.
United States
15 Jan 2018
15
CFTC Approves Amendments To Rules On Retail Forex Cost Disclosures
The CFTC approved amendments to National Futures Association ("NFA") rules related to disclosures and price adjustments for forex transactions and 2-43.
United States
15 Jan 2018
16
FDIC Credit And Consumer Products Survey Warns Of Increasing Risk
The results from an FDIC Credit and Consumer Products Survey suggest that risk is increasing in the industry.
United States
12 Jan 2018
17
FRB Announces Chair And Deputy Chair Appointments For Federal Reserve Banks
The Board of Governors of the Federal Reserve System ("FRB") appointed chairs and deputy chairs of all Federal Reserve Banks for 2018.
United States
12 Jan 2018
18
FDIC Provides Guidance On Credit Management Information Systems
The FDIC provided a list of forward-looking credit metrics that banks should monitor as part of an effective credit management information system ("MIS").
United States
12 Jan 2018
19
CFTC Amends Disciplinary Regulations
The CFTC approved technical amendments to Part 3 and Part 9 of its rules.
United States
11 Jan 2018
20
FINRA Highlights 2018 Compliance, Supervisory And Risk Management Priorities
In an annual Regulatory and Examination Priorities Letter, FINRA outlined key areas of focus for 2018.
United States
11 Jan 2018
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