InfoBytes

Archive: Securities

• SAP Self-Discloses Approximately $6.8 Million in Payments to Gupta Family-Related South African Entities

  October 27, 2017

• CFTC Issues Primer on Virtual Currencies, Claims Certain Virtual Tokens Fall Under Its Oversight

  October 20, 2017

• SEC Approves FINRA’s Streamlined Securities Competency Exams for Industry Professionals and Consolidated Registration Rules

  October 11, 2017

• CFTC Orders Large Financial Institution to Pay for Supervision Failures

  October 5, 2017

• CFTC Director of Enforcement Offers Incentives to Regulated Companies for Self-Reporting and Cooperation

  September 28, 2017

• SEC Reaches Settlement With Investment Adviser for Allegedly Overcharging Clients

  September 21, 2017

• China Bans Commercial Trading of Initial Coin Offerings

  September 15, 2017

• SEC Issues Investor Bulletin Concerning Fraud Related to Initial Coin Offerings

  September 1, 2017

• SEC Issues Regulatory Notice Approving Amendments to FINRA Arbitration Proceedings

  August 25, 2017

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