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Acting OCC Comptroller identifies financial crisis lessons for the crypto industry. OFAC updates ransomware advisory. NASAA examinations report highlights senior investor protection policy deficiencies. Broker-dealer settles NYSE charges for order routing violations. NASAA approves diversity, equity and inclusion statement. Effective date set for NFA late fee amendment and interpretive notice on certain IM model-related filings.
By Cadwalader CabinetActing OCC Comptroller identifies financial crisis lessons for the crypto industry. OFAC updates ransomware advisory. NASAA examinations report highlights senior investor protection policy deficiencies. Broker-dealer settles NYSE charges for order routing violations. NASAA approves diversity, equity and inclusion statement. Effective date set for NFA late fee amendment and interpretive notice on certain IM model-related filings.