In order to settle SEC charges of defrauding investors, the former town attorney and deputy supervisor of Oyster Bay, Long Island, agreed to a permanent injunction from participating in municipal securities offerings.
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An introducing broker, its principal, and a futures commission merchant settled NFA charges of harmful sales and trading practices.
The SEC filed a complaint against a UK-based brokerage firm and an investment manager for allegedly manipulating the market of a microcap stock.
The Secured Payments Task Force will disband in March 2018 and its members will continue their efforts under the new Federal Reserve's FedPayments Improvement Community.
The Consumer Financial Protection Bureau issued a Request for Information seeking feedback on the CFPB's consumer complaint reporting and publication practices.