Securities Regulation Daily Wrap Up
- FRAUD AND MANIPULATION—CFTC orders two precious metals companies to pay $1M for fraud, illegal offering of retail commodity transactions, and failure to register as FCM
- BLOG TRACKER—Noteworthy blog posts and other commentary
- ENFORCEMENT—NASAA reports 1,661 state enforcement actions and $312M in restitution in 2021
- FRAUD AND MANIPULATION—N.D. Ill.: Representative misappropriated over $683,000 by having clients write cashiers’ checks to his private company
- INVESTMENT ADVISERS—NASAA replies to Sen. Reed regarding arbitration clauses
- INVESTMENT ADVISERS—SEC IAC submits recommendation on proposed cyber rules
- NASAA NEWS AND SPEECHES—NASAA model rules address exam requirements for registered individuals
- NASAA NEWS AND SPEECHES—NASAA’s new president discusses priorities and announces board of directors
- STRATEGIC PERSPECTIVES—SEC squares off with ESG investment managers and index providers
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