A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
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CFTC Chair J. Christopher Giancarlo cautioned that any unilateral change to the CFTC-EC Equivalence Agreement would be viewed as a violation of trust between the U.S. and Europe.
President Donald J. Trump signed H.R. 601 to extend the debt ceiling for a period of three months (to end on December 8, 2017). For the first time in history, the total federal debt has exceeded $20 trillion.
SEC Chief Accountant Wesley Bricker discussed (i) the role of financial reporting in financial markets, (ii) recent credit loss standard-setting efforts, and (iii) compliance with auditing requirements in connection with initial coin offerings.
In an op-ed published in the French newspaper Les Échos, CFTC Chair J. Christopher Giancarlo reviewed the implementation of swap reforms over the past eight years and advocated for increased cross-border regulatory deference.