SEC Advocate for Small Business Capital Formation Martha Miller emphasized the importance of access to capital for entrepreneurs.
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CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. The CFTC agreed not to make "any public statement about this case."
The CFTC Division of Market Oversight granted time-limited relief to the Irish bank subsidiary of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S. persons.
A broker-dealer settled SEC charges for SEC charges for publishing quotes in OTC securities without conducting adequate reviews.