Congressional Activity

The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner Michael Piwowar, who ...

With Senate confirmation Aug. 28 of two CFTC commissioner nominees, Dawn Stump and Dan Berkovitz need only to be sworn in to assume their new ...

With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmakers ...

This legislation would prohibit securities fraud cases against public companies but being heard in state courts. These actions would be limited to federal courts.

No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more ...

President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity fund advisers to carry a name matching ...

One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten ...

DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Francisco-based funding portal, alleging violations ...

Dan Berkovitz once served as the CFTC’s general counsel. If President Trump has his way, Berkovitz will now get to serve as a commissioner.   ...

Cyber bad guys target the CFTC’s website hundreds of times a day, sometimes they even take it down (CPO/CTA Watch, March 19, 2015).   “The ...