Sidoti & Company, LLC agreed to pay a $100,000 penalty to settle SEC charges alleging that the brokerage firm had failed to implement adequate policies and procedures to prevent the misuse of material nonpublic information.

Risk Desk Editor John Sodergreen examined the evolution of the financial technology industry in light of Acting Chair J. Christopher Giancarlo's stated intention to "embrace Fintech to a level not seen before at the agency."

Click on the links below to view SEC notices of exchange rule changes and proposals from February 6 to February 10, 2017.

U.S. District Court for the Northern District of Texas Dallas Division Chief Judge Barbara M.G. Lynn denied a motion for summary judgment by the Chamber of Commerce, et. al. to challenge and vacate the heightened fiduciary standards mandated by the DOL fiduciary rule.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to four separate CPOs from certain registration requirements.