Year: 2018

Congress stepped into the crypto currency world this week, holding hearings that focused on the digital currency markets. Specifically, the Senate Committee on Banking, Housing, and Urban Affairs heard testimony from SEC Chairman Jay Clayton and CFTC Chairman J. Chrisopher …

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The Commission’s enforcement program continued its focus on retail customer protections this week. The agency filed settled administrative proceedings against a broker dealer – investment adviser based on a coding error which left the firm in violation of the customer …

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