The New York State Department of Financial Services reminded virtual currency entities that they are required to implement measures to prevent and respond to fraud and efforts at market manipulation.
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The SEC Order that extends temporary relief exempting security-based swap activity from various provisions of the federal securities laws was published in the Federal Register.
The Senate Committee on Commerce, Science and Transportation scheduled a confirmation hearing for President Trump's four FTC nominees.
In a newly published paper, FINRA examined the issue of unpaid arbitration awards in the financial services industry.
FINRA proposed amendments to its Membership Application Program rule to allow FINRA to "take a stronger approach" in addressing pending arbitration claims, awards and settlement agreements.