The SEC announced SRO rule changes and proposals for the week of March 19 to March 23, 2018.
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CFTC Chair J. Christopher Giancarlo and Commissioner Rostin Behnam criticized the CFTC budget allocation made in the recently passed Congressional appropriations bill.
The Consumer Financial Protection Bureau extended the deadline for comments on improving the process for Civil Investigative Demands. The deadline was extended to May 7, 2018.
A federal court ordered a former CEO of an investment firm to pay over $13 million in disgorgement and penalties for violating federal securities laws in relation to allegations that he misled investors about the performance of an investment strategy.
An individual from Virginia was sentenced to two years in prison for filing false information through the SEC public database in a scheme to manipulate the price of issuer securities.