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CFTC adopts swap capital requirements. SEC finalizes rule amendments governing proxy advisors. CFTC MRAC considers updates on SOFR and recent market performance. NASAA examines issues concerning financial professionals with diminished capacity. A broker-dealer settles FINRA charges for best execution failures. Another broker-dealer settles FINRA charges for over-tender of shares violations. NY title insurance company charged with exposing customer information.
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By Cadwalader CabinetCFTC adopts swap capital requirements. SEC finalizes rule amendments governing proxy advisors. CFTC MRAC considers updates on SOFR and recent market performance. NASAA examines issues concerning financial professionals with diminished capacity. A broker-dealer settles FINRA charges for best execution failures. Another broker-dealer settles FINRA charges for over-tender of shares violations. NY title insurance company charged with exposing customer information.