A broker-dealer agreed to pay over $1.4 million to settle SEC charges of failing to adequately investigate red flags concerning the unregistered sale of securities.
News & Insights
22403 News Results
SEC Commissioner Michael S. Piwowar praised collaborative efforts between regulators and market participants on FinTech and RegTech and called for a continued focus on cybersecurity and risk management.
CFTC Chief of Staff Michael Gill and the leadership of the agency's operating divisions detailed progress on the CFTC Project KISS Initiative.
In a new report, IOSCO made recommendations to trading venues and regulatory authorities on the "implementation, operation and monitoring" of mechanisms to address extreme volatility events.
A federal judge determined that the CFTC may regulate fraudulent transactions in virtual currency, even though those transactions are entirely in the "cash market" and are not derivatives.