On August 25, the Securities and Exchange Commission (SEC) adopted final rules which will require disclosure of a comparison of the...
Crypto with Katten will present "Fireside Chat With NY Department of Financial Services Deputy Superintendent of Virtual Currency Peter...
In Regulatory Notice 22-17, FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance...
After years of development and testing, discussions with industry participants, and delays due to pandemic lockdowns, CME has announced a...
US futures exchange rules require participants with direct access to the exchange’s trading systems to maintain an “electronic audit...
On July 27, 2022, FINRA filed a proposed rule change with the SEC to make it easier for brokers to work from home. The proposed rule will...
The Commodity Futures Trading Commission recently settled allegations that Powerline Petroleum, a registered introducing broker (IB),...