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Reg. Tracker: March 1 To March 15 - Finance and Banking

Cadwalader, Wickersham & Taft LLP DTCC proposed a method for shortening the U.S. trade settlement cycle from two business days ( T+2 ) to one business day ( T+1 ). Taft Stettinius & Hollister The Financial Conduct Authority (FCA) announced today that LIBOR will officially no longer be published by ICE Benchmark Administration (IBA) or regulated by the FCA. Arnold & Porter On March 5, 2021, ICE Benchmark Administration Limited (IBA), the administrator for LIBOR, announced that it will permanently cease to publish LIBOR beginning on the following dates. Mayer Brown Welcome to the latest issue of Mayer Brown s IBOR Transition Digest a periodic compendium of global regulatory and market developments and insights on the complex issues confronting financial market

FINRA Publishes New Annual Report on FINRA's Examination and Risk Monitoring Program | Troutman Pepper

FINRA's 2021 Examination and Risk Monitoring Program Report

Thursday, February 18, 2021 On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus for FINRA member firms (Firms) in 2021. The Report replaces the prior format for examination focus, the Risk Monitoring and Examination Program Priorities Letter. In the introduction to the Report, FINRA acknowledges the ongoing COVID-19 pandemic, its regulatory notice in response, and the challenges Firms have faced in response. The report stresses, however, that while FINRA has been in contact with firms throughout the pandemic, it is not ready to address any specific COVID-19-related issues and that such issues will be covered in a future publication.

FINRA Issues 2021 Report on Examination and Risk Monitoring Program | Epstein Becker & Green

The recently issued 2021 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”) replaces, and combines, two previously published FINRA reports – The Report on.

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