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SEC proposes SBS substituted compliance for Spain. FINRA proposes further delay of TBA margin requirements. NFA proposes Interpretive Notice on certain IM model-related filings. NFA proposes amendments to Branch Office Interpretive Notice. Underwriter settles SEC charges for failing to disclose conflicts. UK bank settles OFAC charges for Sudanese sanctions violations.
By Cadwalader CabinetSEC proposes SBS substituted compliance for Spain. FINRA proposes further delay of TBA margin requirements. NFA proposes Interpretive Notice on certain IM model-related filings. NFA proposes amendments to Branch Office Interpretive Notice. Underwriter settles SEC charges for failing to disclose conflicts. UK bank settles OFAC charges for Sudanese sanctions violations.