CFTC’s Scott O’Malia Calls for a Plan of Action on Swap Data
BROKER-DEALER - FINRA Releases Targeted Examination Letter for No Commission Brokers - On February 20, the Financial Industry Regulatory Authority (FINRA) released a targeted examination letter requesting that certain...more
The Commission resolved its actions against the PRC based affiliates of five major accounting firms for failure to produce audit work papers. The settlement contains a series of procedures designed to facilitate production in...more