Commentary by Steven Lofchie
The SEC Investor Advocate expressed disapproval of mandatory arbitration provisions that prohibit shareholders from pursuing class actions.
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Commentary by Steven Lofchie
The SEC announced SRO rule changes and proposals for the week of February 20 to February 23, 2018.
The U.S. Department of the Treasury's Office of Foreign Assets Control imposed new sanctions targeting the North Korean shipping and trading industry.
SEC Commissioner Kara M. Stein warned regulators and industry professionals to carefully consider the costs and benefits of marketing and selling complex products to retail investors.
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms with an alphabetized list.