An associated person of an introducing broker agreed to settle CFTC and CME charges for fraudulent solicitation, unauthorized trading, and violating position limits in live cattle futures contracts.
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SEC Chair Jay Clayton criticized the lack of foreign anti-corruption enforcement and emphasized the importance of international collaboration in the fight against offshore bribery.
OFAC issued a new general license and amended a Frequently Asked Question concerning transactions with the Government of Venezuela.
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds without understanding the associated risks and features.
The North American Securities Administrators Association reported examination findings for state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.