Commentary by Steven Lofchie
SEC Chairman Jay Clayton urged the Investor Advisory Committee to focus on priorities outlined in the SEC Regulatory Flexibility Act agenda.
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Commentary by Steven Lofchie
The former president of a penny stock company consented to a permanent ban from serving as a public company officer. The SEC alleged that he made misrepresentations in an attempt to pump up the value of his company's stock.
The SEC charged a public relations employee of a logistics company with insider trading.
CFTC Commissioner Brian Quintenz advocated for the creation of a self-regulatory organization focused on the oversight of cryptocurrency platforms.
A broker-dealer agreed to pay over $1.4 million to settle SEC charges of failing to adequately investigate red flags concerning the unregistered sale of securities.