Regulation, Compliance
31 Jan 2025
compliance, sec, risk management, options clearing corporation, financial regulation, securities exchange commission
Compliance, Financial Regulation
30 Jan 2025
compliance, investment company act, securities and exchange commission, financial regulation, rule 12b-1
Financial Regulation, Business Compliance
28 Jan 2025
sec, fees, nasdaq, financial regulation, phlx, co-location services
Regulatory Change, Trading Operations
28 Jan 2025
compliance, trading, securities, cboe, financial regulation, auction, market structure
Compliance, Financial Regulation
28 Jan 2025
sec, trading, securities, cboe, financial regulation, auction
Compliance, Financial Impact
27 Jan 2025
financial regulation, self-regulatory organization, cboe bzx, trading compliance, transaction fees
Compliance, Regulatory
23 Jan 2025
compliance, securities, financial regulation, liquidity, clearing agencies
Regulatory Compliance, Financial Implications
23 Jan 2025
compliance, sec, nasdaq, financial regulation, audit trail, industry fees
Regulatory Compliance, Financial Management
22 Jan 2025
risk management, options clearing corporation, margin requirements, financial regulation, intraday trading
Compliance, Regulatory
22 Jan 2025
compliance, energy sector, financial regulation, sanctions, ofac, russian federation
⚠️OFAC Sanctions Impacting U.S. Businesses in the Energy Sector
The U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) is publishing the names of one or more persons and vessels that have been placed on OFAC's Specially Designated Nationals and Blocked Persons List (SDN List) based on OFAC's determination that one or more applicable legal criteria were satisfied. All property and interests in property subject to U.S. jurisdiction of these persons, including the identified vessels, are blocked, and U.S. persons are generally prohibited from engaging in transactions with them.
Learn More