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Appeals court upholds FINRA pay-to-play rule
The D.C. Circuit upheld the SEC’s approval of a FINRA rule barring placement agents from getting paid for soliciting government business after making political contributions.
KPMG hit with $50M penalty for stealing PCAOB inspection documents, cheating on exams
Enforcement Co-Director Steve Peiken said that in two separate courses of conduct, KPMG personnel attempted to compromise efforts to test their performance through the theft of confidential PCAOB...
Chinese bank affiliate to pay over $45M for ‘phantom’ ADRs, bid-rigging conspiracy
A broker-dealer subsidiary of Industrial and Commercial Bank of China agreed to settle SEC charges that the firm improperly handled "pre-released" American Depositary Receipts while also...
Commissioner Behnam warns inaction on climate change risks will result in severe harm to commodity and financial markets
In a high-profile meeting of the CFTC’s Market Risk Advisory Committee, policy makers, market participants, and academics explored the impacts of climate change on the world economy, and...
FIMSAC criticizes pennying, reaffirms support for new issue corporate bond database
FIMSAC recommendations drew on lessons from the municipal securities market in discouraging pennying and providing a comprehensive database.