Two Japanese corporations agreed to settle FTC charges for violating the premerger notification and waiting period requirements under the Hart-Scott-Rodino Act.
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The MSRB updated its guidance on gifts and gratuities limitations for broker-dealers, municipal securities dealers and municipal advisors.
A bipartisan group of U.S. senators proposed the "ILLICIT CASH Act," which would establish federal reporting requirements to help federal and local law enforcement officials more easily access beneficial ownership information.
The town of Oyster Bay, Long Island settled SEC charges of defrauding investors in connection with municipal securities offerings.
An introducing broker, its president and an associated person settled NFA charges of misusing customer block order information in a trading scheme.