A public accounting firm settled SEC charges for violating auditor independence rules.
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The Chicago Mercantile Exchange, Inc. CBOT, NYMEX and COMEX updated the Market Regulation Advisory Notice on block trading.
In a FINRA disciplinary proceeding, the Department of Enforcement fined three general securities representatives for failing to disclose outside business activities.
The FDIC approved a final rule amendment to simplify the procedure for making insurance determinations for banks placed into receivership.
The Chicago Mercantile Exchange, Inc., CBOT, NYMEX and COMEX reminded clearing member firms and other parties to comply with recent sanctions targeting the Venezuelan government.