Senator John Kennedy (R-LA) introduced the "Protecting Investors' Personally Identifiable Information Act." The legislation would exclude personally identifiable information from Consolidated Audit Trail reporting requirements.
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22393 News Results
A former registered research analyst and representative settled FINRA charges for engaging in insider trading.
SEC Chair Gary Gensler appointed several senior staff members to advise on matters before the Commission.
CFTC Commissioner Dawn D. Stump reviewed the scope of the CFTC's jurisdiction over cash market commodities. She contrasted the agency's limited anti-fraud authority over these commodities to the CFTC's broader authority over commodity futures and derivatives.
A steel designer and manufacturer settled potential civil liability with OFAC for alleged violations of the Iranian Transactions and Sanctions Regulations.