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Financial planners join battle over SEC’s Regulation BI
Two financial planning firms field suit to challenge the validity of the SEC’s Regulation BI on largely the same grounds as multiple state attorneys general did just days before, although some...
Judge wary CFTC may be subjecting software developer to discovery-related fishing expedition
In a CFTC enforcement action being pursued after an unsuccessful criminal prosecution, the court put the defendants’ motion for summary judgement on hold but pared down the eight-month...
8 attorneys general sue SEC over Regulation Best Interest
The lawsuit argues that the SEC’s rule does not satisfy Dodd-Frank’s authorization to harmonize standards of conduct between broker-dealers and investment advisers.
Clayton laments global neglect in anti-corruption enforcement
SEC Chairman Jay Clayton suggested that a lack of global coordination in stemming corruption can create incentives for companies to cheat.
ADM charged with manipulating key ethanol benchmark in class action suit
A Swiss firm claims ADM violated the CEA through its manipulation of ethanol prices that caused hundreds of millions of dollars in damages to entities trading in ethanol derivatives.