News

U.S. Congress

First hint of Senate interest in trimming FSOC surfaces

Transparency measures may gain bi-partisan support

Stan Wilson 6:14 PM ET

CFTC’s Bowen calls for user fees to fund oversight

Bowen criticized the agency’s request for a $281.5m budget increase as insufficient

Peter Rawlings 6:05 PM ET

CFTC permits registered CTAs to use third-party recordkeepers: What CCOs need to know

The CFTC gave CTAs the same flexibility as other types of firms

Compliance Reporter 24 May, 2017

Paredes: Market structure key SEC agenda item

The ex-commissioner expects Jay Clayton to focus on CAT plans

Jason Bisnoff 24 May, 2017

SEC, NFA examiners stress exam responsiveness

The warning comes as new leadership takes over at the SEC and CFTC

Jason Bisnoff 23 May, 2017

ICI: Make muni issuers tell us more

The fund lobby contends new regulatory proposals don’t narrow the information gap enough

Stan Wilson 23 May, 2017

Firms cautioned on B/D registration rules

Last year’s settlement between the SEC and Blackstreet should serve as a warning

Jason Bisnoff 22 May, 2017

FINRA fines Merrill Lynch over best ex

The firm agreed to pay a $650,000 fine and be censured

Peter Rawlings 22 May, 2017




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