Commentary by Steven Lofchie
The International Organization of Securities Commissions published a new report on senior financial fraud which provides member states and financial regulators with recommendations on protecting vulnerable senior investors.
The National Futures Association Business Conduct Committee filed a complaint against a commodity trading advisor for providing materially false and misleading disclosure documents to customers.
The NFA charged an introducing broker and an associated person for failure to meet recordkeeping and supervisory requirements
The SEC announced SRO rule changes and proposals for the week of March 5 to March 9, 2018.
Two investment advisers agreed to pay $3.6 million in order to settle SEC charges for failing to disclose a conflict of interest related to securities lending.