IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
News & Insights
21952 News Results
A broker-dealer agreed to pay approximately $4.5 million to settle SEC charges in connection with certain disclosures to customers regarding bond prices.
Chair of the Board of Governors of the Federal Reserve Jerome H. Powell pledged to preserve significant financial regulatory improvements made since the financial crisis, and to remain vigilant to any emerging financial stability risks.
The SEC Division of Enforcement launched an initiative designed to incentivize the self-reporting of certain mutual fund share class selection issues and allow advisory clients to obtain repayment of overcharges.
The Federal Trade Commission requested a FY 2019 budget of $306.3 million. The amount is approximately the same as the agency's FY 2018 request.