CFTC Chair Heath Tarbert and SEC Chair Jay Clayton established a one-year pilot program to enhance coordination among agency staff on CFTC enforcement actions that may trigger "bad actor disqualification" provisions under SEC rules.
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The MSRB elected new leadership, adopted a $42 million budget and highlighted regulatory initiatives for the fiscal year beginning on October 1, 2019.
The U.S. Treasury Department released a report detailing plans to reduce burdens of capital markets regulation.
House Financial Services Committee ranking member Representative Maxine Waters (D-CA) introduced a bill that would alter the SEC process for waiving automatic disqualifications of "bad actors."
At a hearing before the House Financial Services Subcommittee on Capital Markets, Securities and Investment, witnesses debated Sarbanes-Oxley and offered recommendations to address the decline in public offerings.