The Board of the International Organization of Securities Commissions (IOSCO) issued a statement on research conducted by the IOSCO Task Force on OTC Derivatives Regulation concerning credit default swap auction processes and the functioning of the ISDA Credit Determinations Committees.
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The SEC named Robert Evans III as Chief of the Office of International Corporate Finance.
A former CEO of an investment firm was found liable for violating federal securities laws in relation to allegations he misled investors about the performance of an investment strategy.
The SEC announced new SRO rule changes and proposals for the week of October 2 to October 6, 2017.
The Office of the Comptroller of the Currency rescinded previously issued guidance concerning deposit advance products.