SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.
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The FTC charged a company and its officer with using customer funds raised through crowdfunding for personal expenses and marketing, rather than for the development of several promised products.
The CFTC awarded approximately $1.5 million to an individual whistleblower for information provided in connection with a CFTC action and a related action brought by another federal regulator.
The Congressional Research Service reviewed recent proposals by the Federal Reserve Board to reduce "Enhanced Prudential Regulation" requirements for banks with over $50 billion in assets.
ISDA CEO Scott O'Malia encouraged regulators and policymakers to reduce certain "burdensome" requirements that will be enacted on the forthcoming implementation of initial margin "Phase Five."