Rules and Regulations

  • CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions

Industry Update

  • SEC Announces Updates to Form N-PORT Filing Requirements

Litigation

  • SEC Charges Investment Adviser and Principals for Undisclosed Conflicted Transactions

  • SEC Charges Adviser with Misrepresentations in Offering Documents and Misappropriation of Investor Funds

  • Large Broker-Dealer Settles with FINRA for Delivery System Failures Relating to ETF Prospectuses

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