The SEC charged and obtained an asset freeze against China-based traders for conducting a market manipulation scheme involving approximately 3,000 U.S.-listed securities.
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The OCC, Federal Reserve Board, FDIC and National Credit Union Administration proposed (i) a policy statement on allowances for credit losses and (ii) guidance on credit risk review systems.
SEC Investor Advocate Rick Fleming urged regulators and stock exchanges to increase the oversight of dual-class share structures, warning that these structures risk harm to investors and the public markets.
New York Attorney General Letitia James opposed CFPB proposals to increase reporting thresholds and reduce transparency under the Home Mortgage Disclosure Act.
ISDA offered additional guidance on documentation for the OTC derivatives market in the event of a "no deal" Brexit.