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SEC Commissioner Peirce offers recommendations to increase participation in the financial markets. Ninth Circuit affirms CFTC authority in issuing preliminary injunction. FINRA updates guidance on financial and operational rules. NCUA seeks comment on use of digital assets by federally insured credit unions. Firm settles FINRA charges for refusing to produce documents and information. SEC appoints International Affairs Director.
By Cadwalader CabinetSEC Commissioner Peirce offers recommendations to increase participation in the financial markets. Ninth Circuit affirms CFTC authority in issuing preliminary injunction. FINRA updates guidance on financial and operational rules. NCUA seeks comment on use of digital assets by federally insured credit unions. Firm settles FINRA charges for refusing to produce documents and information. SEC appoints International Affairs Director.