The SEC charged a sports supplements and nutrition company with "committing a series of accounting and disclosure violations, including the failure to properly report perks provided to its executives as compensation. The SEC also found that the company "issued stock without a registration statement when it entered into numerous transactions with third parties that agreed in exchange for company shares to pay cash to [the company's] vendors. The company agreed to pay a $700,000 penalty and hire an independent monitor for one year among other undertakings. Company executives and the company's

The CFTC launched its Registration-Deficient List ("RED List"), a new tool that allows investors to identify unregistered foreign entities that could be engaged in illegal practices within the United States. The RED List identifies unregistered foreign entities that the CFTC has reason to believe are illegally soliciting and/or accepting funds from U.S. residents to trade in foreign currency or binary options. "This initiative will allow people to make more informed decisions about investing - and help protect themselves against financial fraud," CFTC Chair Timothy G. Massad said.

SIFMA asked FINRA to reduce the burdens of compliance with a proposed reporting rule concerning employee accounts, and move toward a system based on principles instead of rigid requirements. Specifically, SIFMA recommended changes in FINRA's proposal to (i) adopt FINRA Rule 3210 ("Accounts at Other Broker-Dealers and Financial Institutions") in the Consolidated FINRA Rulebook and (ii) delete incorporated NYSE Rules 407 ("Transactions - Employees of Members, Member Organizations and the Exchange") and 407A ("Disclosure of All Member Accounts"), as well as related Incorporated NYSE Rule

Democratic presidential candidate Hillary Clinton expressed support for an "SEC rulemaking requiring publicly traded companies to disclose all political spending to their their shareholders." In a public statement, Clinton said that "information about how corporate funds are being used to fuel political activity and influence elected officials is material to investment decisions and should be made available to shareholders."

FINRA provided guidance on its filing requirements and review procedures for firms that are participating in offerings under the recently amended Regulation A (popularly known as "Regulation A+"), which allows for lightly regulated offerings of up to $50 million in securities during a 12-month period. Specifically, FINRA provided guidance on its Corporate Financing Rules 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements"), 2310 ("Direct Participation Programs") and 5121 ("Public Offerings of Securities with Conflicts of Interest"), which require firms that participate in