The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail.
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Several state attorneys general sued the SEC, alleging that Regulation "Best Interest" is contrary to the intent of Congress and undermines critical consumer protections concerning retail investors.
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
An associated person of an introducing broker agreed to settle CFTC and CME charges for fraudulent solicitation, unauthorized trading, and violating position limits in live cattle futures contracts.
SEC Chair Jay Clayton criticized the lack of foreign anti-corruption enforcement and emphasized the importance of international collaboration in the fight against offshore bribery.