The SEC charged a mining company and two former executives with several Exchange Act and Securities Act violations in relation to allegations that the executives committed fraud by significantly inflating the value of certain African coal assets.
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The CFTC comparability determination that European Union margin requirements for uncleared swaps are comparable in outcome to relevant CFTC Regulations was published in the Federal Register.
The CFTC published a "primer" that (i) provides an overview of virtual currencies, (ii) explains the CFTC's oversight of virtual currencies, and (iii) cautions market participants of the risks associated with virtual currencies.
CFTC Commissioner Brian Quintenz raised questions about the CFTC oversight of central counterparties and the challenges of maintaining a healthy clearing system.
A U.S. broker-dealer agreed to pay restitution to settle FINRA charges of making unsuitable recommendations in connection with volatility-linked exchange-traded products. FINRA reminded firms of sales practice obligations for such products.