Commentary by Scott Cammarn and Steven Lofchie
Leandra English, the deputy director of the Consumer Financial Protection Bureau, filed a lawsuit challenging President Donald Trump's authority to name a new "acting director" of the Bureau.
The SEC named Paul G. Cellupica as the new Deputy Director of the SEC Division of Investment Management.
A New York-based broker-dealer agreed to pay $1.25 million to settle FINRA charges that it failed to perform adequate background checks on its non-registered associated persons.
The CFTC brought forty-nine enforcement actions and obtained over $333 million in civil monetary penalties in FY 2017.
The SEC announced SRO rule changes and proposals for the week of November 20 to November 22, 2017.