Category: Regulatory

Federal agencies encourage mortgage servicers to work with struggling homeowners affected by COVID-19 Original Source

SEC Obtains Judgment Against Massachusetts Biotechnology Executive for Defrauding Investors Original Source

SEC Charges Four Individuals in Unauthorized Trading Scheme Original Source

CHICAGO – April 3, 2020 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, today reported March monthly trading volume. Original Source

The Securities and Exchange Commission today announced an award of approximately $2 million to a whistleblower who provided vital information and assistance that substantially contributed to an ongoing investigation.  The whistleblower’s information… Original Source

SEC Charges Former Pastor and His Wife with Operating an Affinity Fraud Targeting African-American Community Original Source

Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source

SEC Charges Beverly Hills-Based Entertainment Technology Company in $45 Million Offering Fraud Original Source

CHICAGO – April 2, 2020 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, today issued a statement commending the action of the Federal Reserve, Federal Deposit Insurance Corporation and Office of the Comptroller…

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Agencies will consider comments on Volcker rule modifications following expiration of comment period Original Source

Five federal financial regulatory agencies today announced that they will consider comments submitted before May 1, 2020, on their proposal to modify the Volcker rule’s general prohibition on banking entities investing in or sponsoring hedge funds or… Original Source

CHICAGO – April 2, 2020 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, today announced it has listed for trading the first actively managed, semi-transparent exchange-traded funds (ETFs) in the U.S. – the…

Highlights Issue of Fraud in Faith-Based Communities Original Source

Federal Reserve Board announces temporary change to its supplementary leverage ratio rule to ease strains in the Treasury market resulting from the coronavirus and increase banking organizations’ ability to provide credit to households and businesses Original Source

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Original Source

The Securities and Exchange Commission has obtained a final judgment against Christian concert promoter Jeffrey E. Wall, of Freeport, Maine, and his business, The Lighthouse Events LLC. The Commission charged Wall and Lighthouse in April 2019 with… Original Source

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation is hosting a series of virtual coffee breaks to engage with the public to discuss updates, trends, and perspectives on how COVID-19 is impacting raising… Original…

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing Original Source

The Securities and Exchange Commission today announced that its Small Business Capital Formation Advisory Committee will host a meeting via video conference on April 2, 2020, in response to the challenges small businesses are facing in coping with COVID-… Original…