Senate Appropriations Bill Gives SEC More Funds for Tech
Just-released FY2018 funding bill also includes "poison pill" riders related to CFPB's budget.
Wall Street Has New MiFID Migraine, Now in Futures Market
Banks are seeking CFTC relief from added regulatory burdens; futures brokers are concerned that compliance could add costs.
Clayton’s SEC Cracking Down on Individuals Over Institutions
This strategy consumes more resources, but the ‘price is worth paying,’ the agency’s two top enforcers say.
SEC Penalties Fall in Trump’s First Year: Study
In its latest fiscal year, Wall Street’s top regulator sought the smallest amount of penalties since 2013.
What Brighthouse Told Investors About Distribution
The insurer has described its hopes, and fears, in the first 10-Q it has issued as a stand-alone company.
SEC Finds Widespread Compliance Failures Among Municipal Advisors
A risk alert details “frequently observed deficiencies” in the areas of registration, books and records, and supervision.
House Passes Bill Requiring Safeguards on Trading Data
The CAT system, which tracks market activity, was scheduled to launch soon but exchanges are reportedly seeking a delay.
SEC Busts ‘Frack Master’ Again, This Time in Real Estate Scheme: Enforcement
In other enforcement actions, the CFTC fined Morgan Stanley $350,000.
SEC Creating Searchable Database of Bad Brokers
The site “will be particularly valuable” for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
SEC Warns Against Paid-to-Click Ad Scams
“Be skeptical if you are offered high returns for buying advertising products or clicking on online ads,” said SEC's Schock.