Three affiliated swap dealers settled CFTC charges for improper reporting of swap valuations.
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In United States v. Arthrex, Inc., the Supreme Court held that the unreviewable authority of Administrative Patent Judges (“APJs”) on the Patent Trial and Appeal Board violates the Appointments Clause of the Constitution.
A broker-dealer settled FINRA charges for failing to disclose the relationship between the firm and the subject company featured in the firm's published research reports.
The Federal Reserve Board extended the termination date of its Paycheck Protection Program Liquidity Facility from June 30, 2021 to July 31, 2021.
A broker-dealer settled FINRA charges for failing to maintain a supervisory system reasonably designed to ensure that its representatives were not recommending unsuitable short-term transactions in Unit Investment Trusts.