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Aug 17: There Is an M(OU) in Team
SEC and ECB sign MOU on cross-border supervision of SBS entities. UK education company settles SEC charges for misleading disclosures concerning cyberattack. FINRA warns firms on phishing email campaign. FINRA proposes extension of temporary pandemic-related relief. Broker-dealer settles FINRA charges for supervisory failures on EB-5 activities. NYDFS superintendent to step down. Comment deadline set for NCUA board proposed leverage ratio for complex credit unions.
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By Cadwalader CabinetSEC and ECB sign MOU on cross-border supervision of SBS entities. UK education company settles SEC charges for misleading disclosures concerning cyberattack. FINRA warns firms on phishing email campaign. FINRA proposes extension of temporary pandemic-related relief. Broker-dealer settles FINRA charges for supervisory failures on EB-5 activities. NYDFS superintendent to step down. Comment deadline set for NCUA board proposed leverage ratio for complex credit unions.