Log in to access your subscriptions
Log in to access your subscriptions
Securities Regulation Daily Wrap Up
- TOP STORY—Gensler has SEC taking closer look at PE, hedge fund fees
- BROKER DEALERS—Customer protection failures draw $9M fine for Credit Suisse
- ENFORCEMENT—E.D. Ky.: CFTC obtains consent order imposing $17 million penalty for defrauding commodity futures clients
- FRAUD AND MANIPULATION—C.D. Cal.: Company had plausible explanations for not disclosing all details
- FRAUD AND MANIPULATION—D. Colo.: Colorado man charged with cryptocurrency related fraud
- FRAUD AND MANIPULATION—S.D.N.Y.: Sovereign immunity shielded CFTC from suit by aggrieved reparations complainant
- BLOG TRACKER—Noteworthy blog posts and other commentary
© 2022 CCH Incorporated and its affiliates and licensors. All rights reserved.