The DOJ charged a trader and his security company with committing securities fraud, wire fraud and money laundering.
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The U.S. House Committee on Financial Services considered testimony on several bills that would impose new requirements on investment advisors and private equity funds.
NYMEX denied several traders and a trading firm direct or indirect access to any Chicago Mercantile Exchange trading floor for failure to cooperate in an investigation of suspected trading anomalies.
FinCEN Director Kenneth A. Blanco reminded market participants of their obligations to comply with AML regulations related to convertible virtual currencies.
The Federal Reserve Board corrected the comment deadline for a proposal to raise the threshold for bank holding companies and savings and loan holding companies, subject to Regulation TT assessments.