A former portfolio manager at an investment advising firm settled SEC charges for failing to disclose a conflict of interest.

In an annual notice, the MSRB established the criteria for designating participants for mandatory business continuity and disaster recovery testing consistent with Regulation Systems Compliance and Integrity (Regulation SCI).

FIA urged the SEC to exclude futures commission merchants from its proposed requirement to centrally clear transactions in Treasury securities.

Martin J. Gruenberg was sworn in as Chair of the FDIC.

The New York State Attorney General sued the former CEO of a cryptocurrency lending company for defrauding investors, including through misrepresentations and omissions, in violation of New York Law.