The SEC named Kenneth A. Johnson as Chief Operating Officer ("COO"). Mr. Johnson has been the Acting COO since February 2017.
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A Seattle-based therapist agreed to settle SEC charges of insider trading based on information he obtained from a patient during a confidential counseling session.
A House Subcommittee reviewed the operations of the Committee on Foreign Investment in the United States. Newly introduced legislation would broaden the range of transactions that are subject to review, blocking, or unwinding by CFIUS.
The CFTC requested comment on a proposal by Chicago Mercantile Exchange, Inc., to create a new category of direct clearing member called a "Direct Funding Participant."
The FDIC and the European Banking Union's Single Resolution Board agreed to a "Cooperation Arrangement" to facilitate the exchange of information and coordination in resolution planning efforts for banks with cross-border operations.