U.S. Senate Finance Committee members and industry experts debated recommendations on individual tax reform.
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The SEC Advisory Committee on Small and Emerging Companies met to review the Final Report of the Committee.
The MSRB published a concept proposal to request feedback from market participants on the primary offering practices of broker-dealers and municipal securities dealers.
CFTC Chair J. Christopher Giancarlo emphasized his commitment to global cooperation and cross-border deference between national financial regulators.
An investment services subsidiary of a bank agreed to settle charges with the SEC in relation to allegations that the firm improperly collected avoidable fees from clients.