An SEC proposal that would require the use of universal proxy cards in all nonexempt solicitations for contested director elections was published in the Federal Register.
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The CFTC issued an Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V., a Foreign Board of Trade located in Mexico City.
A firm settled NYSE Arca and NYSE American charges for incorrectly entering order receipt and entry times on its brokerage memoranda.
In two publications, the CFPB reported findings from analyses of pandemic-related mortgage forbearance and delinquencies and from consumer complaints.
A publicly traded apparel company settled SEC charges for failing to disclose the impact of its revenue management practices on revenue growth, resulting in materially misleading public statements.