Commentary by Steven Lofchie
The SEC Division of Corporation Finance provided companies with an example of a letter "containing sample comments that the Division may issue to companies regarding their climate-related disclosure or the absence of such disclosure."
Maryland Securities Commissioner Melanie Senter Lubin began her tenure as President of the North American Securities Administrators Association.
The CFPB charged a credit-repair software and solutions company and its CEO with assisting credit-repair businesses in their collection of advance fees from consumers, in violation of the Telemarketing Sales Rule.
A firm settled NYSE charges for maintaining competing orders from the same customer by two floor brokers.
In remarks before the Blockchain Association, Acting OCC Comptroller Michael Hsu identified lessons from the 2008 financial crisis that regulators and the crypto industry should apply to "avoid repeating the mistakes of the past."