SEC Deputy Chief Economist Scott W. Bauguess addressed misconceptions held by investors and market observers concerning machine-readable reporting.
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SEC Chief Accountant Wesley Bricker made recommendations to improve the quality of financial reporting for regulatory agencies and firms.
The National Futures Association advised futures commission merchants and introducing brokers to ensure that their anti-money laundering programs comply with OFAC requirements on virtual currency transactions.
The U.S. Court of Appeals for the Second Circuit overturned the securities fraud conviction of a former bond trader.
FINRA amended its anti-money laundering policy to specifically require ongoing customer due diligence. The policy will be implemented on May 11, 2018.