A broker-dealer agreed to pay a $1.575 million fine to settle FINRA charges of failing to supervise trading and failing to implement financial and regulatory risk management controls and procedures.
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The MSRB named Lanny Schwartz as Chief Regulatory Officer. The appointment is effective April 24, 2018.
The SEC Office of Compliance Inspections and Examinations urged investment advisers to evaluate their fee and expense policies and procedures in order to meet compliance obligations.
SEC Commissioners Michael S. Piwowar and Hester M. Peirce disagreed with an SEC staff recommendation not to increase the Tier 2 offering limit set under Regulation A.
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator from the requirement to deliver to pool participants periodic account statements and an annual report prepared pursuant to U.S. Generally Accepted Accounting Principles.