A CPO/CTA, operating a pool that invests in digital assets, settled CFTC charges for late and inaccurate statements to pool participants and NFA, and related supervisory violations.

The SEC filed charges against a water technology company and a former finance director for fraudulent accounting practices that resulted in material misstatements on its reported revenue at the time of the Company’s initial public offering.

An information technology company settled charges with the SEC for making material misstatements in investor disclosures regarding its non-GAAP earnings.

A broker-dealer settled SEC charges for disclosure violations in connection with a limited offering exemption on the sale of municipal securities.

The Government Accountability Office recommended that the CFPB provide clarity on how the definition of “credit” in the Truth in Lending Act and Regulation Z should be applied to earned wage access products.