Commentary by Steven Lofchie
The SEC settled charges brought against an Arizona resident and his relatives for insider trading.
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Commentary by Steven Lofchie
A federal appeals court ruled that the SEC did not undertake appropriate "reasoned analysis" in approving an SRO rule proposal.
Senator Elizabeth Warren (D-MA) sent letters to the CEOs of 16 major financial institutions asking for information related to the Consumer Financial Protection Bureau arbitration rule.
The North American Securities Administrators Association annual conference will be held from September 24-26, 2017.
The CFTC Division of Market Oversight granted time-limited no-action relief to market participants from certain exemption and notice-filing requirements related to the aggregation of positions.