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The US Commodity Futures Trading Commission has finalised a one-year extension of the initial margin compliance under UMR to allow firms more time to combat the business disruption caused by the coronavirus
The US SEC has called on industry participants to assists in reforming flaws in the current exemption relief rules for affiliated parties in securities lending programmes
The US SEC has issued an extension of a no-action letter it provided to assist market participants regarding their US-regulated activities for MiFID II research
The SEC and CFTC have approved and invited public comment on a joint proposal to align requirements for security futures with requirements for similar financial products
The Securities and Exchange Commission has proposed to align the minimum margin required on security futures with other similar financial products
Larry Meyers, the former head of the securities lending desk at Banca IMI Securities, has pleaded guilty to a criminal antitrust charge for his involvement in a bid-rigging conspiracy for certain financial instruments
State Street Bank and Trust has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to the firm's custody of client assets
The Securities and Exchange Commission (SEC) has adopted a series of regulations and requirements under Title VII of the Dodd-Frank Act
