The DOJ Antitrust Division introduced a new policy under which corporations may receive credit for their existing compliance programs during criminal antitrust investigations.
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The CFTC finished updating its data catalogue, completing the first of five steps under the agency's Data Protection Initiative.
Senior Counsel to CFTC Chair J. Christopher Giancarlo, Ms. Maggie Sklar, will leave the CFTC this July.
A broker-dealer settled FINRA charges for executing and introducing orders from a fund engaged in potentially manipulative trading.
The FINRA proposal making non-substantive changes to its Consolidated Audit Trail plan and Rule 409T was published in the Federal Register.