InfoBytes

Archive: Securities

• CFTC announces $30 million whistleblower award

  July 13, 2018

• NYDFS fines global banking firm $205 million for alleged FX violations

  June 22, 2018

• Bitcoin and ether not considered securities by SEC

  June 20, 2018

• SEC settles RMBS supervision and improper markup allegations with brokerage firm

  June 15, 2018

• FDIC, OCC issue final rulemaking to shorten securities transaction settlement cycle

  June 6, 2018

• FINRA issues enhancements to disclosure review process for public records

  June 1, 2018

• SEC obtains court order halting allegedly fraudulent initial coin offering

  May 31, 2018

• CFTC, NASAA enter cryptocurrency, fraud information sharing partnership; CFTC releases virtual currency derivative guidance

  May 23, 2018

• National bank reaches $480 million settlement with investors over incentive compensation sales program

  May 9, 2018

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