The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.

NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.

A municipal securities dealer settled FINRA charges for providing inaccurate information in the issue price certificates of 22 municipal offerings.

The DOJ charged a U.S. citizen with violating the International Emergency Economic Powers Act after traveling to the Democratic People's Republic of Korea and speaking at a Pyongyang cryptocurrency conference.

The SEC named Kristina Littman as the agency's new Division of Enforcement Cyber Unit Chief.