The operator of a binary options trading firm agreed to settle CFTC charges for engaging in off-exchange options trading without being properly registered as a futures commission merchant.
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A broker-dealer firm agreed to settle FINRA charges for failing to perform sufficient background checks on non-registered associated persons.
The MSRB elected new leadership, adopted a $42 million budget and highlighted regulatory initiatives for the fiscal year beginning on October 1, 2019.
SEC Chief Economist and Director of the Division of Economic and Risk Analysis S.P. Kothari highlighted policy challenges of big data.
SEC Cyber Unit Chief Robert A. Cohen will leave the SEC. Mr. Cohen was the first Cyber Unit Chief.