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President Biden to nominate CFTC and FTC commissioners. Firm settles charges for supervisory failures over partial tender offers. Broker-dealer settles FINRA charges for failing to properly register traders. Effective date set for FTC amendments to prescreen opt-out notice requirements.
By Cadwalader CabinetPresident Biden to nominate CFTC and FTC commissioners. Firm settles charges for supervisory failures over partial tender offers. Broker-dealer settles FINRA charges for failing to properly register traders. Effective date set for FTC amendments to prescreen opt-out notice requirements.