The CFTC will keep the de minimis threshold at $8 billion until December 31, 2019.
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An investment advisory firm agreed to settle SEC charges of illegal short selling in advance of stock offerings.
The U.S. Department of the Treasury Office of Foreign Assets Control issued an amended Directive and published additional FAQ guidance on Ukraine and Russia energy sector-related sanctions.
The SEC charged a Philadelphia-based trader with several Securities Act and Exchange Act violations for allegedly participating in and profiting from a "brokerage account takeover" scheme.
The Office of the Comptroller of the Currency published the "Subsidiaries and Equity Investments" booklet of the Comptroller's Licensing Manual.