CFTC Commissioner Kristin N. Johnson called for improved corporate governance and comprehensive regulation for the crypto markets.
A broker-dealer settled FINRA charges for failing to timely report certain customer complaints and for failing to report customer settlements exceeding $25,000.
A broker settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
A broker-dealer settled charges with FINRA for engaging in 717 instances of "spoofing" in the Treasury securities secondary market.
Three China-based accounting firms and four individuals settled charges with the Public Company Accounting Oversight Board for issuing inaccurate audit reports and for violations of quality control standards related to integrity and personnel management.