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ansaction-proposal2024-04-04monthly0.7https://caffrey.ai/news/03/22/2023/sia-partners-identifies-market-concerns-over-sec-central-clearing-proposal2024-04-04monthly0.7https://caffrey.ai/news/03/22/2023/sec-proposes-implementing-electronic-filing-requirements-updates-focus-report2024-01-31monthly0.7https://caffrey.ai/news/03/22/2023/sec-proposes-amendments-requiring-electronic-filing-expands-focus-reporting2024-01-31monthly0.7https://caffrey.ai/news/03/22/2023/cpo/cta-settles-cftc-charges-supervisory-violations2024-04-06monthly0.7https://caffrey.ai/news/03/22/2023/cpo/cta-operating-digital-asset-pool-settles-cftc-charges-late-and-inaccurate-statements2024-04-06monthly0.7https://caffrey.ai/news/03/21/2023/sec-commissioner-uyeda-raises-concern-over-secs-unrealistic-expectations-regulatory-approach2024-01-29monthly0.7https://caffrey.ai/news/03/21/2023/sec-commissioner-uyeda-criticizes-unrealistic-regulatory-approach2024-01-29monthly0.7https://caffrey.ai/news/03/20/2023/crs-publishes-fdic-legal-sidebar-bridge-banks2024-04-12monthly0.7https://caffrey.ai/news/03/21/2023/crs-summarizes-legal-history-fdic-bridge-banks2024-04-12monthly0.7https://caffrey.ai/news/03/21/2023/congressmembers-request-information-frb-and-fdic-involvement-svb/signature-failures2023-03-22monthly0.7https://caffrey.ai/news/03/21/2023/legislators-request-information-regulators-oversight-svb-and-signature-bank2023-03-22monthly0.7https://caffrey.ai/news/03/21/2023/federal-register-sec-reopens-comment-period-cybersecurity-proposal2023-06-04monthly0.7https://caffrey.ai/news/03/21/2023/sec-sets-comment-deadline-cybersecurity-proposal2023-06-04monthly0.7https://caffrey.ai/news/03/21/2023/bank-holding-company-enters-guilty-plea-doj-inflation-revenue2024-04-03monthly0.7https://caffrey.ai/news/03/21/2023/bank-holding-company-enters-guilty-plea-securities-fraud2024-04-03monthly0.7https://caffrey.ai/news/03/21/2023/sec-updates-municipal-advisors-faq-completion-form-ma2023-03-23monthly0.7https://caffrey.ai/news/03/21/2023/sec-updates-municipal-advisor-registration-guidance2023-03-23monthly0.7https://caffrey.ai/news/03/21/2023/sec-investment-management-director-birdthistle-calls-focus-emerging-market-trends2023-03-22monthly0.7https://caffrey.ai/news/03/21/2023/sec-im-director-describes-trends-asset-management2023-03-22monthly0.7https://caffrey.ai/news/03/20/2023/representative-waters-calls-regulators-complete-dodd-frank-act-following-svb-and-signature-banks-closures2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/house-financial-services-ranking-member-calls-rulemaking-executive-compensation2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/sec-commissioner-says-comprehensive-regulatory-framework-needed-complex-products-following-bank-failures2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/sec-commissioner-addresses-put-options-tied-failed-banks2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/fdic-extends-bidding-process-silicon-valley-bridge-bank2024-04-12monthly0.7https://caffrey.ai/news/03/20/2023/fdic-extends-bidding-process-silicon-valley-bridge-bank2024-04-12monthly0.7https://caffrey.ai/news/03/20/2023/fdic-sells-signature-bank-occ-approves-conditions2024-04-12monthly0.7https://caffrey.ai/news/03/20/2023/fdic-sells-signature-bridge-bank-occ-approves-conditions2024-04-12monthly0.7https://caffrey.ai/news/03/20/2023/president-biden-vetoes-resolution-blocking-esg-consideration-erisa-plans2024-04-04monthly0.7https://caffrey.ai/news/03/20/2023/president-biden-vetoes-resolution-limiting-esg-consideration-erisa-plans2024-04-04monthly0.7https://caffrey.ai/news/03/20/2023/house-financial-service-urges-gao-examine-svb/signature-bank-closures2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/house-financial-services-committee-leaders-urge-gao-examine-bank-closures2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/sec-chief-accountant-munter-reminds-lead-auditors-supervisory-procedure-obligations2023-03-21monthly0.7https://caffrey.ai/news/03/20/2023/sec-chief-accountant-reminds-lead-auditors-supervisory-obligations2023-03-21monthly0.7https://caffrey.ai/news/03/17/2023/cfpb-conduct-review-data-broker-practices2024-04-12monthly0.7https://caffrey.ai/news/03/20/2023/cfpb-seeks-information-data-broker-practices2024-04-12monthly0.7https://caffrey.ai/news/03/17/2023/frb-launch-fednow(sm)-july2024-04-12monthly0.7https://caffrey.ai/news/03/17/2023/frb-launch-instant-payment-service-july2024-04-12monthly0.7https://caffrey.ai/news/03/17/2023/cfpb-warns-student-debt-services-against-unlawful-collection-practices2024-04-12monthly0.7https://caffrey.ai/news/03/17/2023/cfpb-warns-student-loan-servicers-against-unlawful-collections2024-04-12monthly0.7https://caffrey.ai/news/03/17/2023/president-biden-stands-firmly-committed-holding-svb/signature-executive-accountable2023-03-20monthly0.7https://caffrey.ai/news/03/17/2023/president-biden-urges-congress-hold-bank-executives-accountable-mismanagement2023-03-20monthly0.7https://caffrey.ai/news/03/17/2023/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activity-and-file-sars2024-04-12monthly0.7https://caffrey.ai/news/07/29/2020/finra-proposes-extension-temporary-relief-staff-procedural-requirements2024-04-12monthly0.7https://caffrey.ai/news/07/29/2020/finra-extends-effective-date-amendments-trace-reporting-requirements2024-04-12monthly0.7https://caffrey.ai/news/07/28/2020/manufacturer-settles-ofac-charges-violating-iranian-transactions-and-sanctions-regulations2026-06-19monthly0.7https://caffrey.ai/news/07/28/2020/sec-staff-says-firms-are-complying-form-crs-requirements2022-06-18monthly0.7https://caffrey.ai/news/07/28/2020/broker-dealer-settles-finra-charges-failure-follow-aml-procedures2024-04-12monthly0.7https://caffrey.ai/news/07/28/2020/sec-charges-adviser-failure-disclose-conflicts-interest2020-12-15monthly0.7https://caffrey.ai/news/07/28/2020/sifma-asks-finra-allow-remote-branch-office-inspections2022-06-18monthly0.7https://caffrey.ai/news/07/28/2020/isda-begins-publishing-monthly-data-usage-risk-free-rates2022-06-18monthly0.7https://caffrey.ai/news/07/28/2020/frb-extends-expiration-date-covid-19-related-lending-facilities2024-04-12monthly0.7https://caffrey.ai/news/07/27/2020/federal-register-sec-publishes-technical-corrections-offering-process-bdcs-and-closed-end-funds2022-06-18monthly0.7https://caffrey.ai/news/07/27/2020/sec-staff-permits-indian-company-shorten-tender-offer-period2021-01-05monthly0.7https://caffrey.ai/news/07/27/2020/broker-dealer-fined-over-tendering-shares-partial-tender-offer2024-04-12monthly0.7https://caffrey.ai/news/07/27/2020/cfpb-propose-rule-consumer-authorized-access-financial-data2024-04-12monthly0.7https://caffrey.ai/news/07/27/2020/broker-dealer-settles-finra-charges-private-placement-conduct-failures2024-04-12monthly0.7https://caffrey.ai/news/07/24/2020/broker-dealer-settles-finra-charges-oats-reporting-failures2024-04-12monthly0.7https://caffrey.ai/news/07/24/2020/agencies-finalize-orderly-liquidation-rule-covered-broker-dealers2024-04-12monthly0.7https://caffrey.ai/news/07/24/2020/ny-fed-expands-eligibility-service-emergency-lending-facilities2024-04-12monthly0.7https://caffrey.ai/news/07/24/2020/doj-charges-tech-executive-ppp-fraud-and-money-laundering2024-04-03monthly0.7https://caffrey.ai/news/07/24/2020/doj-files-complaint-forfeiture-funds-used-north-korean-money-laundering-scheme2024-04-03monthly0.7https://caffrey.ai/news/07/24/2020/gao-reviews-resolution-planning-requirements-and-role-ola2024-01-30monthly0.7https://caffrey.ai/news/07/23/2020/broker-dealer-settles-finra-charges-supervisory-and-suitability-violations2024-04-12monthly0.7https://caffrey.ai/news/07/23/2020/industry-groups-offer-recommendations-sec-valuation-proposal2021-01-24monthly0.7https://caffrey.ai/news/07/23/2020/occ-allows-national-banks-provide-digital-asset-custody-services2024-04-12monthly0.7https://caffrey.ai/news/07/23/2020/cftc-adopts-new-cross-border-swaps-rules2024-09-23monthly0.7https://caffrey.ai/news/07/23/2020/arrc-identifies-recommended-conventions-sofr-arrears-rates2022-06-18monthly0.7https://caffrey.ai/news/07/23/2020/broker-dealer-settles-finra-charges-oats-and-nms-reporting-failures2024-04-12monthly0.7https://caffrey.ai/news/07/22/2020/sec-finalizes-rule-amendments-governing-proxy-advisors2022-06-18monthly0.7https://caffrey.ai/news/07/22/2020/cftc-mrac-considers-updates-sofr-and-recent-market-performance2024-04-06monthly0.7https://caffrey.ai/news/07/22/2020/nasaa-examines-issues-concerning-financial-professionals-diminished-capacity2024-02-03monthly0.7https://caffrey.ai/news/07/22/2020/cftc-adopts-swap-capital-requirements2024-04-06monthly0.7https://caffrey.ai/news/07/22/2020/broker-dealer-settles-finra-charges-over-tender-shares-violations2024-04-12monthly0.7https://caffrey.ai/news/07/22/2020/broker-dealer-settles-finra-charges-best-execution-failures2024-04-12monthly0.7https://caffrey.ai/news/07/22/2020/federal-register-cfpb-amends-payday-vehicle-title-and-high-cost-installment-loan-regulations2024-04-12monthly0.7https://caffrey.ai/news/07/22/2020/federal-register-cfpb-proposes-exemption-establishing-escrow-accounts-hpmls2024-04-12monthly0.7https://caffrey.ai/news/07/22/2020/federal-register-cftc-adopts-amendment-inter-affiliate-clearing-rule2024-04-06monthly0.7https://caffrey.ai/news/07/22/2020/ny-title-insurance-company-charged-exposing-customer-information2024-02-03monthly0.7https://caffrey.ai/news/07/21/2020/president-trump-authorizes-sanctions-persons-involved-hong-kong-human-rights-abuses2026-06-19monthly0.7https://caffrey.ai/news/07/21/2020/sec-commissioner-peirce-criticizes-enforcement-action-against-ico-issuer2022-11-17monthly0.7https://caffrey.ai/news/07/21/2020/nfa-extends-relief-registration-fingerprint-requirements2024-04-05monthly0.7https://caffrey.ai/news/07/21/2020/fca-and-esma-mous-become-effective-end-brexit-transition-period2026-06-19monthly0.7https://caffrey.ai/news/07/21/2020/finra-amends-arbitration-code-apply-minimum-fees-customer-dispute-expungement-requests2024-04-12monthly0.7https://caffrey.ai/news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ards-whistleblowers-approximately-2-million2024-04-06monthly0.7https://caffrey.ai/news/07/03/2019/house-financial-services-committee-chair-asks-facebook-pause-development-proposed-cryptocurrency2022-06-18monthly0.7https://caffrey.ai/news/07/03/2019/federal-register-frb-and-cfpb-adopt-amendments-adjust-funds-availability-inflation2024-04-12monthly0.7https://caffrey.ai/news/07/03/2019/sec-grants-indian-corporation-partial-tender-offer-relief2022-06-18monthly0.7https://caffrey.ai/news/07/02/2019/finra-increases-margin-requirements-etns2024-04-12monthly0.7https://caffrey.ai/news/07/02/2019/cabinet-great-american-playlist2024-02-04monthly0.7https://caffrey.ai/news/07/02/2019/hong-kong-hedge-fund-settles-charges-exceeding-spot-month-position-limit-wheat-futures-contracts2024-04-06monthly0.7https://caffrey.ai/news/07/02/2019/fdic-chair-provides-resolution-planning-updates2024-04-12monthly0.7https://caffrey.ai/news/07/02/2019/finra-proposes-publishing-additional-otc-equity-trading-volume-data2024-04-12monthly0.7https://caffrey.ai/news/07/01/2019/sec-approves-amendments-msrb-rules-primary-offering-practices2024-04-12monthly0.7https://caffrey.ai/news/07/01/2019/sec-charges-municipal-advisor-breach-fiduciary-duty2022-06-18monthly0.7https://caffrey.ai/news/07/01/2019/sec-office-investor-advocate-announces-2020-objectives2023-04-24monthly0.7https://caffrey.ai/news/07/01/2019/representative-waters-proposes-amendments-freeze-sec-proxy-rules2022-06-18monthly0.7https://caffrey.ai/news/07/01/2019/sec-commissioner-peirce-criticizes-efforts-mandate-representation-women-corporate-boards2022-06-18monthly0.7https://caffrey.ai/news/07/01/2019/reg.-tracker-july-1-july-152022-06-18monthly0.7https://caffrey.ai/news/07/01/2019/nasaa-names-president-elect2024-02-03monthly0.7https://caffrey.ai/news/07/01/2019/federal-register-ftc-adopts-rules-implementing-free-credit-monitoring-active-duty-military-consumers2024-04-03monthly0.7https://caffrey.ai/news/07/01/2019/cftc-extends-comment-deadline-regarding-changes-dco-regulations2026-06-20monthly0.7https://caffrey.ai/news/07/01/2019/sec-adopts-revisions-edgar-filer-manual2022-06-18monthly0.7https://caffrey.ai/news/07/01/2019/finra-recaps-monthly-disciplinary-actions2024-04-12monthly0.7https://caffrey.ai/news/06/28/2019/finra-reports-use-fines-eligible-funds2024-04-12monthly0.7https://caffrey.ai/news/06/28/2019/u.s.-house-ag-subcommittee-considers-brexit-and-other-cross-border-derivatives-matters2026-06-19monthly0.7https://caffrey.ai/news/06/28/2019/former-executive-pleads-guilty-adr-related-bid-rigging-conspiracy2024-04-03monthly0.7https://caffrey.ai/news/06/28/2019/office-financial-research-names-new-director2022-07-27monthly0.7https://caffrey.ai/news/06/28/2019/ofac-designates-nicolas-maduros-son2024-03-06monthly0.7https://caffrey.ai/news/06/28/2019/frb-approves-2019-capital-plans-all-major-banks2024-04-12monthly0.7https://caffrey.ai/news/06/28/2019/house-democrats-urge-ending-inter-affiliate-initial-margin-swaps2022-06-18monthly0.7https://caffrey.ai/news/06/28/2019/finra-proposes-technical-changes-cat-plan-and-reporting-requirements2024-04-12monthly0.7https://caffrey.ai/news/06/28/2019/cfpb-extends-comment-deadline-hmda-data-point-information2024-04-12monthly0.7https://caffrey.ai/news/06/28/2019/broker-dealer-settles-finra-charges-violating-order-protection-rule2024-04-12monthly0.7https://caffrey.ai/news/06/27/2019/ofac-designates-venezuelan-government-officials-connection-electricity-crisis2024-04-03monthly0.7https://caffrey.ai/news/06/27/2019/cftc-provides-sd-de-minimis-relief-floor-traders2024-04-06monthly0.7https://caffrey.ai/news/06/27/2019/bank-settles-sec-charges-connection-hidden-fees2022-06-18monthly0.7https://caffrey.ai/news/06/27/2019/fdic-creates-division-complex-institution-supervision-and-resolution2024-04-12monthly0.7https://caffrey.ai/news/06/27/2019/sec-and-cftc-intend-explore-portfolio-margining2024-04-06monthly0.7https://caffrey.ai/news/06/27/2019/ftc-reminds-market-participants-interlocking-prohibitions-during-restructurings-or-acquisitions2024-04-03monthly0.7https://caffrey.ai/news/06/27/2019/broker-dealer-settles-finra-charges-initial-margin-interest-rate-disclosure-failures2024-04-12monthly0.7https://caffrey.ai/news/06/26/2019/sec-names-new-chief-staff-and-deputy-chief-staff2022-06-18monthly0.7https://caffrey.ai/news/06/26/2019/house-passes-bill-block-secs-retail-best-interest-rulemaking-package2022-06-18monthly0.7https://caffrey.ai/news/06/26/2019/ofac-extends-expiration-dates-venezuelan-and-ukrainian-general-licenses2026-06-19monthly0.7https://caffrey.ai/news/06/26/2019/fincen-finds-more-banks-and-credit-unions-accepting-cannabis-businesses2024-04-02monthly0.7https://caffrey.ai/news/06/26/2019/senate-ag-committee-considers-testimony-cftc-reauthorization2022-06-18monthly0.7https://caffrey.ai/news/06/26/2019/cftc-director-division-swap-dealer-and-intermediary-oversight-depart2024-04-06monthly0.7https://caffrey.ai/news/06/26/2019/firm-settles-cftc-spoofing-charges2024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osing-sanctions2024-04-12monthly0.7https://caffrey.ai/news/05/02/2018/treasury-updates-licenses-specially-designated-nationals-and-blocked-persons2024-03-06monthly0.7https://caffrey.ai/news/05/02/2018/cftc-issues-guidance-exemption-aggregation-requirements2024-04-06monthly0.7https://caffrey.ai/news/05/02/2018/finra-proposes-rule-amendments-enhance-oversight-high-risk-brokers2024-04-12monthly0.7https://caffrey.ai/news/05/01/2018/electronics-company-pay-280-million-fcpa-violations2024-04-03monthly0.7https://caffrey.ai/news/05/01/2018/bank-holding-company-fined-unsafe-and-unsound-forex-trading-practices2024-04-12monthly0.7https://caffrey.ai/news/05/01/2018/sec-director-investment-management-answers-questions-proposed-best-interest-standard2023-05-23monthly0.7https://caffrey.ai/news/04/30/2018/nydfs-proposes-best-interest-standard-sellers-life-insurance-and-annuity-products2024-02-03monthly0.7https://caffrey.ai/news/04/30/2018/commodity-trading-company-pay-2-million-cotton-futures-position-limits-violations2024-04-06monthly0.7https://caffrey.ai/news/04/30/2018/dol-clarifies-plan-fiduciary-responsibilities2024-04-04monthly0.7https://caffrey.ai/news/04/27/2018/fdic-vice-chair-step-down2024-04-12monthly0.7https://caffrey.ai/news/04/27/2018/occ-publishes-recovery-planning-booklet2024-04-12monthly0.7https://caffrey.ai/news/04/27/2018/weekly-roundup-exchange-rules-category2022-06-18monthly0.7https://caffrey.ai/news/04/27/2018/senate-confirms-five-ftc-nominees2024-04-03monthly0.7https://caffrey.ai/news/04/27/2018/fincen-updates-aml/cft-deficiencies-list2024-04-02monthly0.7https://caffrey.ai/news/04/27/2018/nydfs-transitions-certain-non-depository-financial-institutions-nmls2024-02-03monthly0.7https://caffrey.ai/news/04/27/2018/house-committee-considers-implementation-issues-customer-due-diligence-rule2024-04-02monthly0.7https://caffrey.ai/news/04/27/2018/cftc-chair-giancarlo-outlines-vision-swaps-reform2024-04-06monthly0.7https://caffrey.ai/news/04/27/2018/cftc-commissioner-reviews-current-regulation-cryptocurrencies2024-04-06monthly0.7https://caffrey.ai/news/04/27/2018/isda-examines-margin-framework-non-cleared-otc-derivatives2021-01-15monthly0.7https://caffrey.ai/news/04/26/2018/isda-provides-guidance-u.s./eu-cross-border-trading2021-01-15monthly0.7https://caffrey.ai/news/04/26/2018/sec-commissioner-urges-new-approach-equity-market-structure-regulation2022-12-31monthly0.7https://caffrey.ai/news/04/26/2018/isda-calls-ccp-supervisory-cooperation2024-01-31monthly0.7https://caffrey.ai/news/04/26/2018/sec-director-corporation-finance-reviews-upcoming-regulatory-priorities2022-06-18monthly0.7https://caffrey.ai/news/04/26/2018/sec-chair-thanks-congress-extra-funding-sets-out-fy2019-priorities2022-06-18monthly0.7https://caffrey.ai/news/04/25/2018/federal-register-frb-seeks-comments-proposed-simplified-capital-rules2024-04-12monthly0.7https://caffrey.ai/news/04/25/2018/cftc-warns-manufacturing-cds-events-may-constitute-manipulation2024-04-06monthly0.7https://caffrey.ai/news/04/25/2018/labcftc-requests-input-fintech-science-competitions2024-04-06monthly0.7https://caffrey.ai/news/04/24/2018/finra-requests-comments-rule-governing-annual-compliance-meetings2024-04-12monthly0.7https://caffrey.ai/news/04/24/2018/isda-future-derivatives-survey-finds-participants-optimistic-face-significant-market-challenges2026-06-19monthly0.7https://caffrey.ai/news/04/24/2018/commercial-data-provider-agrees-pay-9-million-fcpa-violations2020-12-15monthly0.7https://caffrey.ai/news/04/24/2018/treasury-reports-successful-deregulation-efforts2024-04-02monthly0.7https://caffrey.ai/news/04/24/2018/public-company-pay-35-million-cybersecurity-breach-disclosure-violations2023-06-04monthly0.7https://caffrey.ai/news/04/23/2018/cftc-rescinds-reporting-relief-granted-delinquent-cpo2024-04-06monthly0.7https://caffrey.ai/news/04/23/2018/finra-requests-adoption-tier-size-pilot-program2024-04-12monthly0.7https://caffrey.ai/news/04/23/2018/finra-proposes-changes-quantitative-suitability-obligation-broker-dealers2024-04-12monthly0.7https://caffrey.ai/news/04/23/2018/treasury-eases-sanctions-russian-aluminum-company2024-03-06monthly0.7https://caffrey.ai/news/04/23/2018/treasury-extends-compliance-dates-certain-qfc-recordkeeping-requirements2024-04-12monthly0.7https://caffrey.ai/news/04/23/2018/finra-provides-guidance-use-related-performance-information-institutional-communications2024-04-12monthly0.7https://caffrey.ai/news/04/20/2018/finra-proposes-adding-ongoing-customer-due-diligence-requirements-aml-rule2024-04-12monthly0.7https://caffrey.ai/news/04/20/2018/sec-cyber-unit-files-additional-charges-related-unregistered-ico2021-03-20monthly0.7https://caffrey.ai/news/04/20/2018/finra-proposes-further-extension-effective-date-tba-margin-requirements2024-04-12monthly0.7https://caffrey.ai/news/04/20/2018/weekly-roundup-exchange-rules-category2022-06-18monthly0.7https://caffrey.ai/news/04/20/2018/bank-settles-charges-occ-and-cfpb-risk-management-deficiencies2024-04-12month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ormation-officer2023-06-04monthly0.7https://caffrey.ai/news/03/14/2018/health-tech-company-and-its-founder-settle-sec-fraud-charges2020-12-15monthly0.7https://caffrey.ai/news/03/14/2018/cftc-commissioners-warn-against-eu-ccp-regulatory-changes2026-06-19monthly0.7https://caffrey.ai/news/03/14/2018/company-settles-charges-employee-stock-option-disclosure-failures2022-06-18monthly0.7https://caffrey.ai/news/03/13/2018/bank-reaches-consent-agreement-frb-regarding-bsa/aml-procedures2024-04-12monthly0.7https://caffrey.ai/news/03/13/2018/federal-register-cfpb-finalizes-changes-mortgage-servicing-rule2024-04-12monthly0.7https://caffrey.ai/news/03/13/2018/msrb-provides-guidance-minimum-denominations2024-04-12monthly0.7https://caffrey.ai/news/03/13/2018/proprietary-trading-firm-accuses-unknown-traders-manipulating-cboe-volatility-index2024-04-04monthly0.7https://caffrey.ai/news/03/13/2018/president-trump-blocks-planned-tech-company-takeover2020-12-15monthly0.7https://caffrey.ai/news/03/12/2018/federal-register-cfpb-seeks-input-rulemaking-processes2024-04-12monthly0.7https://caffrey.ai/news/03/12/2018/iosco-issues-recommendations-protect-senior-investors2022-06-18monthly0.7https://caffrey.ai/news/03/12/2018/nfa-charges-cta-disclosure-and-recordkeeping-violations2024-04-05monthly0.7https://caffrey.ai/news/03/12/2018/nfa-charges-introducing-broker-recordkeeping-and-supervisory-violations2024-04-05monthly0.7https://caffrey.ai/news/03/09/2018/weekly-roundup-exchange-rules-category2020-09-18monthly0.7https://caffrey.ai/news/03/09/2018/investment-advisers-settle-sec-charges-failure-disclose-conflict-interest2022-06-18monthly0.7https://caffrey.ai/news/03/09/2018/report-frb-staff-highlights-risks-nonbank-mortgage-lending2024-04-12monthly0.7https://caffrey.ai/news/03/09/2018/sec-chairman-highlights-pressing-matters-affecting-retail-investors2022-06-18monthly0.7https://caffrey.ai/news/03/09/2018/sec-bans-penny-stock-company-president-attempted-pump-and-dump-scheme2021-01-06monthly0.7https://caffrey.ai/news/03/09/2018/sec-charges-public-relations-employee-insider-trading2022-06-18monthly0.7https://caffrey.ai/news/03/08/2018/cftc-commissioner-calls-creation-cryptocurrency-sro2024-04-06monthly0.7https://caffrey.ai/news/03/08/2018/broker-dealer-settles-sec-charges-related-unregistered-sales-securities2020-12-15monthly0.7https://caffrey.ai/news/03/08/2018/sec-commissioner-encourages-regtech-innovation-and-focus-cybersecurity2022-06-18monthly0.7https://caffrey.ai/news/03/07/2018/cftc-officials-provide-project-kiss-update2026-06-20monthly0.7https://caffrey.ai/news/03/07/2018/iosco-recommends-trading-venues-adopt-mechanisms-control-volatility2022-11-21monthly0.7https://caffrey.ai/news/03/07/2018/federal-judge-recognizes-cftc-jurisdiction-over-virtual-currency-fraud2024-04-06monthly0.7https://caffrey.ai/news/03/07/2018/sec-reminds-online-digital-asset-trading-platforms-compliance-responsibilities2022-07-02monthly0.7https://caffrey.ai/news/03/07/2018/finra-updates-designation-criteria-business-continuity-and-disaster-recovery-testing2024-04-12monthly0.7https://caffrey.ai/news/03/07/2018/cftc-chair-defends-fy-2019-budget-request-house-ag-subcommittee2024-04-06monthly0.7https://caffrey.ai/news/03/06/2018/frb-vice-chairman-says-regulators-considering-volcker-rule-changes2024-04-12monthly0.7https://caffrey.ai/news/03/06/2018/exchanges-pay-14-million-settle-multiple-sec-charges2022-11-20monthly0.7https://caffrey.ai/news/03/06/2018/frb-requests-comments-proposal-concerning-electronic-check-and-fund-collection2024-04-12monthly0.7https://caffrey.ai/news/03/06/2018/federal-register-cfpb-requests-information-consumer-complaint-reporting-practices2024-04-12monthly0.7https://caffrey.ai/news/03/06/2018/arrc-outlines-plan-transition-away-libor2024-04-12monthly0.7https://caffrey.ai/news/03/06/2018/ofac-issues-new-north-korea-sanctions-regulations2026-06-19monthly0.7https://caffrey.ai/news/03/05/2018/ffiec-amends-home-mortgage-disclosure-act-reporting-guide2022-10-28monthly0.7https://caffrey.ai/news/03/05/2018/former-hedge-fund-manager-barred-securities-industry-inflating-asset-values2020-12-15monthly0.7https://caffrey.ai/news/03/05/2018/congressional-republicans-file-amicus-brief-supporting-president-trump-fight-over-cfpb-appointment2020-12-24monthly0.7https://caffrey.ai/news/03/05/2018/former-trader-fined-and-banned-libor-manipulation2022-11-09monthly0.7https://caffrey.ai/news/03/05/2018/fdic-revises-credit-rating-references-international-banking-regulations2024-04-12monthly0.7https://caffrey.ai/news/03/02/2018/weekly-roundup-exchange-rules-category2020-09-18monthly0.7https://caffrey.ai/news/03/02/2018/sec-charges-long-island-town-attorney-defrauding-investors2024-02-05monthly0.7https://caffrey.ai/news/03/02/2018/introducing-broker-and-fcm-settle-nfa-charges-engaging-harmful-sales-and-trading-practices2024-04-05monthly0.7https://caffrey.ai/news/03/02/2018/sec-sues-uk-brokerage-firm-manipulating-microcap-stock2022-06-18monthly0.7https://caffrey.ai/news/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atives-and-aggregation-positions-proposals-(fed.-reg.)2026-04-15monthly0.7https://caffrey.ai/news/03/25/2015/cftc-publishes-exemption-issued-hksfc-permits-u.s.-customers-deal-directly-hong-kong-fcms-(fed.-reg.)2026-04-15monthly0.7https://caffrey.ai/news/03/25/2015/ny-fed-releases-paper-regarding-central-clearing-(-lofchie-comment)2020-12-15monthly0.7https://caffrey.ai/news/03/25/2015/ofr-director-berner-discusses-standards-financial-data-(-lofchie-comment)2022-07-27monthly0.7https://caffrey.ai/news/03/25/2015/sec-adopts-regulation-a-(-delta-strategy-group-summary)2026-04-15monthly0.7https://caffrey.ai/news/03/25/2015/sec-proposes-rule-amendments-require-exchange-broker-dealers-become-members-finra-(-delta-strategy-group-summary-and-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/03/25/2015/sifma-amg-iaa-and-mfa-submit-responses-fsocs-request-comments-asset-management-products-and-activities-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/03/25/2015/upcoming-cftc-market-risk-advisory-committee-meeting-will-focus-clearing-and-derivatives2026-04-15monthly0.7https://caffrey.ai/news/03/24/2015/cftc-final-rule-regarding-residual-interest-deadline-fcms-published-federal-register2026-04-15monthly0.7https://caffrey.ai/news/03/24/2015/alj-issues-decision-case-involving-short-sales-role-compliance-and-supervisory-liability2020-12-15monthly0.7https://caffrey.ai/news/03/24/2015/finra-announces-effective-date-sec-approved-rules-regarding-payments-unregistered-persons-(finra-reg.-notice-15-07)2026-04-15monthly0.7https://caffrey.ai/news/03/24/2015/finra-requests-comments-proposal-require-registration-associated-persons-responsible-algorithmic-trading-strategies-(finra-reg.-notice-15-06)2026-04-15monthly0.7https://caffrey.ai/news/03/24/2015/nfa-updates-regulatory-guide-forex-transactions2026-04-15monthly0.7https://caffrey.ai/news/03/24/2015/sec-chair-white-testifies-house-financial-services-committee-(-delta-strategy-group-summary)2020-12-03monthly0.7https://caffrey.ai/news/03/24/2015/sec-grants-no-action-relief-investment-adviser-regarding-custody-rule2022-01-02monthly0.7https://caffrey.ai/news/03/24/2015/u.s.-house-committee-agriculture-holds-hearing-regarding-cftc-reauthorization-and-end-users-(-delta-strategy-group-summary)2020-12-15monthly0.7https://caffrey.ai/news/03/23/2015/cftc-fines-firm-reporting-commodity-positions-multiple-grains-inaccurately-(-pantano-comment)2026-04-15monthly0.7https://caffrey.ai/news/03/23/2015/cftc-issues-advisory-reminding-certain-parties-their-reporting-obligations-pursuant-ocr-final-rule-(cftc-letter-15-14)2026-04-15monthly0.7https://caffrey.ai/news/03/23/2015/cme-group-issues-disciplinary-action-against-fcm2020-08-06monthly0.7https://caffrey.ai/news/03/23/2015/sec-announces-investor-advisory-committee-meeting-published-federal-register2023-04-25monthly0.7https://caffrey.ai/news/03/23/2015/senate-banking-committee-holds-hearing-examine-regulatory-regime-banks2021-06-21monthly0.7https://caffrey.ai/news/03/23/2015/sifma-sends-letter-sec-chair-white-placement-agent-activities-municipal-advisors2026-04-15monthly0.7https://caffrey.ai/news/03/23/2015/treasury-releases-model-1-iga-signed-belarus2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/cftc-holds-roundtable-discussion-recovery-and-orderly-wind-down-dcos-(-delta-strategy-group-summary)2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/cftc-issues-exemption-hksfc-permitting-u.s.-customers-deal-directly-hong-kong-fcms2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/cftc-issues-four-no-action-letters-cpos-regarding-annual-report-requirements-(cftc-letters-15-10-15-11-15-12-and-15-13)2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/finra-extends-expiration-date-refund-program-address-underreported-form-u4-information-(fed.-reg.)2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/nfa-charges-fcm-excess-segregated-funds/secured-amount/disbursements2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/nfa-charges-fcm-failing-report-customer-balances-depositories2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/nfa-charges-two-introducing-brokers-one-aml-program-violations-one-recordkeeping-and-capital-minimum-failures2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/sec-commissioner-aguilar-discusses-challenges-sec-(-lofchie-comment-and-audio-selection)2026-04-15monthly0.7https://caffrey.ai/news/03/20/2015/sifma-submits-comments-opposing-nyses-proposed-midday-auction2026-04-15monthly0.7https://caffrey.ai/news/03/19/2015/cftc-holds-roundtable-discussion-cybersecurity-and-system-safeguards-testing-(-delta-strategy-group-summary)2026-04-15monthly0.7https://caffrey.ai/news/03/19/2015/gao-issues-report-examining-legislative-proposals-and-international-coordination-regarding-bankruptcies-large-financial-institutions-(-lofchie-comment)2020-08-06monthly0.7https://caffrey.ai/news/03/19/2015/msrb-proposes-expand-emma-post-trade-data2026-04-15monthly0.7https://caffrey.ai/news/03/19/2015/nfa-charg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ap-data-reporting-relief-certain-sds-and-msps-six-jurisdictions2026-04-15monthly0.7https://caffrey.ai/news/11/24/2014/cftc-issues-rule-enforcement-reviews-cbot-cme-nymex-and-comex2026-04-15monthly0.7https://caffrey.ai/news/11/24/2014/fdic-issues-financial-institution-letter-final-rule-regarding-assessments2026-04-15monthly0.7https://caffrey.ai/news/11/24/2014/finra-imposes-15-million-fine-broker-dealer-supervisory-failures-relating-equity-research2026-04-15monthly0.7https://caffrey.ai/news/11/24/2014/finras-proposed-rules-relating-research-published-federal-register2020-12-15monthly0.7https://caffrey.ai/news/11/24/2014/frb-releases-first-semiannual-report-banking-applications-activity2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/cftc-reinstates-nasdaq-futures-inc.-dcm2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/conforming-existing-guidance-financial-accounting-standards-board-task-force-sec-staff-accounting-bulletin-no.-115-(fed.-reg.)2020-12-15monthly0.7https://caffrey.ai/news/11/21/2014/finra-proposes-new-rule-regarding-charges-services-performed2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/finra-reminds-atss-and-ats-subscribers-trade-reporting-obligations-trace-eligible-securities-(finra-reg.-notice-14-53)2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/sec-commissioner-stein-proposes-more-municipal-market-private-equity-fund-and-etf-transparency2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/sec-director-enforcement-division-speaks-about-priorities-(-bondi-comment)2026-04-15monthly0.7https://caffrey.ai/news/11/21/2014/sec-holds-government-business-forum-small-business-capital-formation2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/cftc-commissioner-giancarlo-discusses-best-principles-financial-regulation-financial-markets-and-job-creation2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/cftc-proposes-clarify-its-interpretation-forward-contracts-embedded-volumetric-optionality-(fed.-reg.)2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/broker-dealer-and-officials-agree-settle-sec-market-access-violation-charges2020-12-15monthly0.7https://caffrey.ai/news/11/20/2014/buy-side-trade-associations-criticize-basel-ii-capital-requirements-(-lofchie-comment)2020-12-15monthly0.7https://caffrey.ai/news/11/20/2014/doj-and-sec-representatives-discuss-fcpa-enforcement-(-bondi-comment)2020-12-15monthly0.7https://caffrey.ai/news/11/20/2014/fdic-issues-guidance-application-process-deposit-insurance2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/ferc-issues-annual-enforcement-report2020-08-24monthly0.7https://caffrey.ai/news/11/20/2014/ferc-requests-reports-fuel-assurance2020-08-24monthly0.7https://caffrey.ai/news/11/20/2014/frb-governor-tarullo-discusses-liquidity-regulation-and-supervision2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/gao-recommends-further-fsoc-action-improve-designation-process-non-bank-sifis-(-lofchie-comment)2020-12-15monthly0.7https://caffrey.ai/news/11/20/2014/house-financial-services-committee-chair-jeb-hensarling-elected-second-term2020-08-24monthly0.7https://caffrey.ai/news/11/20/2014/nasaa-cautions-investors-be-wary-high-yield-investment-programs2024-02-03monthly0.7https://caffrey.ai/news/11/20/2014/sec-extends-temporary-conditional-exemption-nrsros2026-04-15monthly0.7https://caffrey.ai/news/11/20/2014/seia-asks-irs-change-proposed-regulations-permit-broader-investment-reits-solar-energy2020-08-24monthly0.7https://caffrey.ai/news/11/19/2014/cftc-announces-national-campaign-protect-consumers-financial-fraud2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/cftc-commissioner-sharon-bowen-seeks-public-comment-scope-and-composition-mrac-(fed.-reg.)2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/d.c.-circuit-rehear-case-conflict-minerals-rule-(-woody-comment)2021-06-17monthly0.7https://caffrey.ai/news/11/19/2014/fdic-issues-financial-institution-letter-filing-and-documentation-procedures-state-banks2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/finra-increase-nfa-exam-fees-2015-(nfa-notice-i-14-31)2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/hong-kong-and-barbados-sign-fatca-igas-united-states2020-08-24monthly0.7https://caffrey.ai/news/11/19/2014/mfa-blog-eu-delay-implementation-deadline-u.s.-clearinghouses2024-01-31monthly0.7https://caffrey.ai/news/11/19/2014/msrb-proposes-professional-qualification-standards-municipal-advisors2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/nfa-recommends-members-review-fincen-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-(nfa-notice-i-14-30)2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/occ-issues-updated-comptrollers-licensing-manual-booklet-federal-branches-and-agencies2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/sanctions-update-bank-tokyo-mitsubishi-penalized-and-ofac-faq-addresses-russian-shale-oil-production2026-04-15monthly0.7https://caffrey.ai/news/11/19/2014/sec-adopts-regulation-sci-(-delta-strategy-group-summary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orman-bay-be-ferc-commissioner-chairman2020-08-24monthly0.7https://caffrey.ai/news/01/31/2014/sifma-and-other-trade-associations-urge-congress-raise-debt-ceiling2026-04-15monthly0.7https://caffrey.ai/news/01/30/2014/cftc-issues-trade-execution-mandate-certain-credit-default-swaps2026-04-15monthly0.7https://caffrey.ai/news/01/30/2014/finra-regulatory-notice-14-03-finra-amends-rule-2251-regarding-proxy-rate-reimbursement-and-enhanced-brokers-internet-platforms2026-04-15monthly0.7https://caffrey.ai/news/01/30/2014/iosco-publishes-recommendations-regarding-protection-client-assets-(-dewaal-comment)2020-12-15monthly0.7https://caffrey.ai/news/01/30/2014/nfa-notice-i-14-05-request-comments-cpo/cta-capital-requirements-and-customer-protection-measures-not-limited-cpo/cta-members2026-04-15monthly0.7https://caffrey.ai/news/01/30/2014/sec-charges-money-manager-and-firm-misleading-advertisements-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/30/2014/sec-issues-risk-alert-investment-advisers-due-diligence-processes-selecting-alternative-investments-(-mehta-comment)2022-11-09monthly0.7https://caffrey.ai/news/01/30/2014/senate-banking-subcommittee-holds-hearing-annual-report-and-oversight-ofr-(-delta-strategy-group-summary)-(-lofchie-comment)2022-07-27monthly0.7https://caffrey.ai/news/01/29/2014/court-enters-judgment-against-three-wall-street-brokers-defrauding-customers2020-08-24monthly0.7https://caffrey.ai/news/01/29/2014/finra-proposes-expand-arbitrators-ability-make-referrals-suspected-bad-conduct2026-04-15monthly0.7https://caffrey.ai/news/01/29/2014/msrb-proposes-amendments-existing-obligations-municipal-securities-dealers-related-fair-pricing-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/29/2014/nfa-announces-results-board-elections2026-04-15monthly0.7https://caffrey.ai/news/01/29/2014/occ-names-molly-scherf-deputy-comptroller-large-bank-supervision2026-04-15monthly0.7https://caffrey.ai/news/01/29/2014/sec-charges-internal-auditor-insider-trading-wifes-account2026-04-15monthly0.7https://caffrey.ai/news/01/29/2014/trading-firm-fined-flawed-blue-sheet-trading-data2020-12-16monthly0.7https://caffrey.ai/news/01/28/2014/cftc-announces-global-markets-advisory-committee-meeting-cross-border-issues2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/cftc-issues-trade-execution-mandate-additional-interest-rate-and-credit-default-swaps-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/energy-metro-desk-drums-along-potomac-focuses-cftc-2014-priorities2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/irs-official-promises-new-fatca-guidance-soon-denies-rumor-further-delay-fatca2020-08-24monthly0.7https://caffrey.ai/news/01/28/2014/market-participants-file-statement-explain-their-standing-lawsuit-challenging-cftc-cross-border-guidance2021-01-20monthly0.7https://caffrey.ai/news/01/28/2014/sec-approves-finra-rule-regarding-participation-alternative-display-facility2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/sec-commissioner-piwowar-speaks-sec-priorities-and-issues-regulatory-structure-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/sec-names-barbara-lorenzen-associate-director-ocie-clearance-and-settlement-program2026-04-15monthly0.7https://caffrey.ai/news/01/28/2014/slovenia-agrees-fatca-iga-united-states2020-08-24monthly0.7https://caffrey.ai/news/01/27/2014/cftc-commissioner-omalia-its-time-review-our-rules-and-make-necessary-changes-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/cftc-requests-nfa-members-provide-information-suspicious-activity-report-filings-nfa-notice-i-14-042026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/finra-proposes-amended-margin-requirements-tbas-finra-regulatory-notice-14-022026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/finra-proposes-amend-rule-51102026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/mfa-submits-letter-cftc-requesting-relief-package-transactions2026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/nfa-issues-investor-newsletter-january-20142026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/sec-chair-white-establishes-2014-sec-priorities2026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/sec-commissioner-gallagher-discusses-corporate-disclosure-system-and-proxy-advisory-industry2026-04-15monthly0.7https://caffrey.ai/news/01/27/2014/sec-issues-no-action-relief-investment-advisers-regarding-cash-payments-client-solicitations-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/24/2014/cftc-issues-exemptive-letter-regarding-annual-report-filing-deadline-cpo-(cftc-letter-14-06)2026-04-15monthly0.7https://caffrey.ai/news/01/24/2014/cftc-reschedules-public-meeting-technology-advisory-committee-previously-cancelled-snow-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/01/24/2014/frb-provides-additional-information-large-bank-holding-companies-resolution-planning-and-recovery-(-lofchie-comment)2026-04-15monthly0.7https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ormation-forum2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/cftc-announces-approval-final-rule-recordkeeping-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/cftc-issues-isda-no-action-relief-sds-and-msps-compliance-valuation-reporting-obligations2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/cftc-issues-no-action-relief-concerning-a-cta-subsidiary-a-registered-cta2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/cftc-issues-time-limited-no-action-relief-reporting-prime-brokerage-swaps-under-cftc-rules-parts-43-and-452026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/assorted-security-sro-rule-changes2020-12-15monthly0.7https://caffrey.ai/news/12/17/2012/british-banking-association-reports-libor-consultation-findings2021-06-11monthly0.7https://caffrey.ai/news/12/17/2012/call-public-comment-uk-special-administration-regime-investment-banks2020-12-15monthly0.7https://caffrey.ai/news/12/17/2012/fsa-updates-client-assets-regime-reflect-emir2020-08-06monthly0.7https://caffrey.ai/news/12/17/2012/john-ramsay-named-acting-director-secs-division-trading-and-markets-(-lofchie-comment)2020-08-06monthly0.7https://caffrey.ai/news/12/17/2012/lona-nallengara-named-acting-director-secs-division-corporation-finance2020-08-06monthly0.7https://caffrey.ai/news/12/17/2012/mfa-submits-comments-cftc-ice-clear-europe-portfolio-margining-petition2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/oft-gives-green-light-lse-acquisition-lch.clearnet2021-06-11monthly0.7https://caffrey.ai/news/12/17/2012/sec-charges-connecticut-based-adviser-skin-game-misstatements-about-cdos2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/sec-charges-germany-based-allianz-se-fcpa-violations-(-banoun-and-clark-comment)2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/sec-charges-santa-monica-based-hf-manager-cherry-picking-scheme2026-04-15monthly0.7https://caffrey.ai/news/12/17/2012/sec-issues-order-granting-conditional-exemptions-connection-portfolio-margining-swaps-and-security-based-swaps-(pre-fed.-reg.-version)2026-04-15monthly0.7https://caffrey.ai/news/12/14/2012/cftc-no-action-relief-swap-dealers-chief-compliance-officers-annual-reports-2012-year-end-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/12/14/2012/court-enters-final-judgment-against-massachusetts-investment-adviser-and-its-principal-orders-payment-over-1.7-million-illicit-gains-and-penalties2020-08-24monthly0.7https://caffrey.ai/news/12/14/2012/cpss-and-iosco-issue-disclosure-framework-and-assessment-methodology-fmis2020-12-15monthly0.7https://caffrey.ai/news/12/14/2012/frb-releases-proposed-rules-strengthen-oversight-u.s.-operations-foreign-banks2026-04-15monthly0.7https://caffrey.ai/news/12/14/2012/sifma-2013-and-2014-market-close-recommendations2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/cftc-commissioners-chilton-and-sommers-dodd-frank-implementation-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/cftc-issues-isda-time-limited-no-action-relief-part-45-post-allocation-swap-timing-requirement2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/bill-facilitating-information-sharing/cfpb-and-other-u.s.-government-agencies2020-08-24monthly0.7https://caffrey.ai/news/12/13/2012/danforth-townley-named-attorney-fellow-secs-division-investment-management2020-08-06monthly0.7https://caffrey.ai/news/12/13/2012/federal-reserve-et-al.-announce-civil-monetary-penalties-aml-and-bank-secrecy-act-violations2021-06-11monthly0.7https://caffrey.ai/news/12/13/2012/financial-industry-testimony-implementation-dodd-frank2020-12-15monthly0.7https://caffrey.ai/news/12/13/2012/finra-foundation-and-bbb-launch-smart-investing-website-help-stop-investment-scams2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/finra-extend-date-which-eligible-registrants-must-complete-a-firm-element-continuing-education-program-qualify-engage-a-security-futures-business-(proposed-rule-change)2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/ici-chamber-commerce-v.-cftc-cftc-wins-registration-rules-rics-still-stand2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/proposed-rule-change-extend-expiration-date-finra-rule-0180-(application-rules-security-based-swaps)2020-12-15monthly0.7https://caffrey.ai/news/12/13/2012/sec-exemptive-order-certain-rules-regulation-sho-related-hurricane-sandy2026-04-15monthly0.7https://caffrey.ai/news/12/13/2012/sifma-request-guidance-applicability-commodity-pool-regulation-insurance-linked-securities2026-04-15monthly0.7https://caffrey.ai/news/12/12/2012/cftc-chairman-gary-gensler-says-cftc-aims-finalize-swaps-rules-mid-2013-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/12/12/2012/european-parliament-approves-enhanced-cooperation-agreement-financial-transaction-tax2020-08-06monthly0.7https://caffrey.ai/news/12/12/2012/financial-services-committee-chairman-bachus-economic-impact-derivatives-regulations-(-lofchie-comment)2020-08-24monthly0.7https://caffrey.ai/new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al-rule2026-04-15monthly0.7https://caffrey.ai/news/10/11/2012/pamela-dyson-named-secs-deputy-chief-information-officer2020-08-06monthly0.7https://caffrey.ai/news/10/11/2012/sec-resource-extraction-rule-challenged-failing-cost-benefit-test2026-04-15monthly0.7https://caffrey.ai/news/10/11/2012/speculation-rule-called-waste-republican-representatives-letter-cftc2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/cftc-chairman-genslers-speech-new-era-swaps-market-reform-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/cftc-orders-farr-financial-pay-280000-settle-charges-improper-investment-customer-segregated-funds-and-supervision-failures2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/cftc-staff-responds-questions-start-swap-data-reporting2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/fdic-financial-institution-letter-final-rule-assessments-large-bank-pricing2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/iosco-publishes-(over-sec-objections)-policy-recommendations-money-market-funds-(-lofchie-comment)2021-01-24monthly0.7https://caffrey.ai/news/10/10/2012/nasaa-notice-request-public-comment-proposed-changes-performance-fee-model-rules-under-uniform-securities-acts-1956-and-2002-(-parness-comment)2024-02-03monthly0.7https://caffrey.ai/news/10/10/2012/nasaa-president-heath-abshure-criticizes-sec-jobs-act-proposals-(-parness-comment)2024-02-03monthly0.7https://caffrey.ai/news/10/10/2012/sec-commissioner-walters-speech-cross-border-regulation-particularly-swaps-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/sifma-and-fsr-support-secs-jobs-act-rule-proposals2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/sifma-opposes-nasdaqs-benchmark-orders-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/sifma-opposes-proposal-adopt-a-retail-price-improvement-program2026-04-15monthly0.7https://caffrey.ai/news/10/10/2012/stockholm-university-study-diversity-high-frequency-traders2020-12-03monthly0.7https://caffrey.ai/news/10/09/2012/annual-stress-test-occ-regulated-institutions-final-rule-(occ-pre-fed.-reg.-version)-(-musical-link)2021-06-11monthly0.7https://caffrey.ai/news/10/09/2012/annual-stress-test-fdic-regulated-institutions-final-rule-(fdic-pre-fed.-reg.-version)2020-12-15monthly0.7https://caffrey.ai/news/10/09/2012/annual-stress-test-requirements-frb-regulated-institutions-final-rule-(frb-pre-fed.-reg.-version)2026-04-15monthly0.7https://caffrey.ai/news/10/09/2012/ice-futures-u.s.-energy-position-limit-exemption-form2020-12-15monthly0.7https://caffrey.ai/news/10/09/2012/ice-otc-market-guidance-swaps-futures-transition-position-limits-accountability-levels-and-hedge-exemptions2021-06-11monthly0.7https://caffrey.ai/news/10/09/2012/nfa-notice-members-board-and-nominating-committee-members-whose-terms-will-expire-2013-annual-election2026-04-15monthly0.7https://caffrey.ai/news/10/09/2012/notice-rule-amendments-deleting-provisions-open-outcry-trading2020-12-15monthly0.7https://caffrey.ai/news/10/09/2012/proposed-extension-temporary-rule-regarding-principal-trades-advisory-clients-proposed-rule-(sec-pre-fed.-reg.-version)-(-lofchie-comment)2020-12-15monthly0.7https://caffrey.ai/news/10/09/2012/reminder-upcoming-changes-msrb-transaction-reporting-requirements2020-12-15monthly0.7https://caffrey.ai/news/10/09/2012/sec-ocie-examinations-letter-newly-registered-advisers2022-01-02monthly0.7https://caffrey.ai/news/10/08/2012/asf-asks-cftc-relief-regulation-securitization-vehicles-pools-(-lofchie-comment)2026-04-15monthly0.7https://caffrey.ai/news/10/08/2012/european-commission-consults-recovery-and-resolution-framework-non-bank-financial-institutions2021-06-16monthly0.7https://caffrey.ai/news/10/08/2012/european-commission-endorse-u.s.-canadian-and-australian-cras-equivalent2021-06-11monthly0.7https://caffrey.ai/news/10/08/2012/stress-testing-regulated-entities-notice-proposed-rulemaking-request-comment-(fhfa-fed.-reg.-version)2020-12-15monthly0.7https://caffrey.ai/news/10/05/2012/cftc-commissioner-chilton-statement-speeding-dodd-frank-implementation-and-compliance2026-04-15monthly0.7https://caffrey.ai/news/10/05/2012/cftcs-division-swap-dealer-and-intermediary-oversight-provides-guidance-segregated-and-secured-funds-maintained-a-combined-omnibus-account2026-04-15monthly0.7https://caffrey.ai/news/10/05/2012/eba-publishes-final-report-recapitalization-european-banks2021-06-16monthly0.7https://caffrey.ai/news/10/05/2012/esma-publishes-list-shares-exempt-short-selling-regulation-(-lofchie-comment)2020-08-24monthly0.7https://caffrey.ai/news/10/05/2012/fsa-consults-improvements-listing-regime2020-12-03monthly0.7https://caffrey.ai/news/10/05/2012/fsa-consults-new-regime-approved-persons2020-08-24monthly0.7https://caffrey.ai/news/10/05/2012/high-level-expert-group-eu-bank-reform-presents-recommendations2021-06-16monthly0.7https://caffrey.ai/news/10/05/2012/house-republicans-letter-treasury-secretary-geithner-digs-cftc-among-others2020-12-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