Commentary by James Treanor
The U.S. Departments of State, Treasury, Commerce and Homeland Security advised U.S. companies on the increasing risks associated with operations in the Hong Kong Special Administrative Region of the People's Republic of China.
SEC Chair Gary Gensler named advisors to his public policy team.
The U.S. House Committee on Financial Services Task Force on Artificial Intelligence considered testimony on how emerging technologies such as artificial intelligence, machine learning and blockchain can contribute to building digital identity infrastructure.
A firm and its general securities principal settled FINRA charges for (i) failing to maintain a reasonable supervisory system that detects potentially manipulative trading and (ii) failing to review and retain business-related text messages.
FINRA adopted amendments to private placement filing requirements to require members to file retail communications related to an offering.