Just Because They Can Doesn't Mean They Should

House Financial Services Subcommittee Hears Criticism of Financial Stability Board's Regulatory Approach

The Monetary Policy and Trade Subcommittee of the House Financial Services Committee examined the regulatory approach taken by the Financial Stability Board and its "implications for U.S. growth and competitiveness."

CFTC Charges Introducing Broker with Recordkeeping and Supervisory Failures

Commentary by Bob Zwirb

The CFTC filed charges against an introducing broker and its majority owner and sole principal for supervisory and registration failures.

CFTC Charges Firm with Executing Wash Trades and Related Supervisory Failures

The CFTC charged a financial services firm registered as a futures commission merchant with participating in unlawful wash trades and related supervisory failures.

ALSO COVERED

SEC Advisory Committee to Examine Disclosure, Board Diversity, Capital Raising and Equity Market Structure Initiatives
SEC Names Whistleblower Office Chief
Federal Register: SEC Extends Comment Period for Proposed Amendments to Disclosure Requirements
Federal Register: SEC Approves FINRA Proposal to Expand Dissemination of CMO Trade Information
Federal Register: OCC Adopts Final Recovery Plan Guidelines for Large Banks