SEC Division of Corporation Finance Director William Hinman described approaches taken by the SEC to ease regulatory burdens in order to incentivize companies to go public.
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IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
A broker-dealer agreed to pay approximately $4.5 million to settle SEC charges in connection with certain disclosures to customers regarding bond prices.
Chair of the Board of Governors of the Federal Reserve Jerome H. Powell pledged to preserve significant financial regulatory improvements made since the financial crisis, and to remain vigilant to any emerging financial stability risks.
The SEC Division of Enforcement launched an initiative designed to incentivize the self-reporting of certain mutual fund share class selection issues and allow advisory clients to obtain repayment of overcharges.