Commentary by Steven Lofchie
SEC Commissioner Hester Peirce and SEC Advocate for Small Business Capital Formation Martha Miller emphasized the importance of a regulatory framework that facilitates capital investment in regional economies.
The CFPB and the State of Arkansas proposed to settle a complaint against brokers for violations of the Consumer Financial Protection Act and the Arkansas Deceptive Trade Practices Act.
A trade credit insurer agreed to settle potential liability for violating the Foreign Narcotics Kingpin Sanctions regulations.
SEC Advocate for Small Business Capital Formation Martha Miller emphasized the importance of access to capital for entrepreneurs.
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.