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Securities Regulation Daily Wrap Up
- TOP STORY—SIFMA urges SEC to improve security of CAT system prior to its July 11 go-live date
- ACCOUNTING AND AUDITING—PCAOB sanctions audit firm and partners for violating PCAOB standards related to audits and examinations of broker-dealer
- BROKER-DEALERS—CFTC proceeding finds that futures broker did not improperly liquidate complainant’s account
- ENFORCEMENT—N.D.Cal.: Final judgment entered against CFO in multi-million dollar real estate scheme
- FRAUD AND MANIPULATION—Fraud Guarantee co-founder Lev Parnas barred from securities industry
- BLOG TRACKER—Noteworthy blog posts and other commentary
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