Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay more than $2.96 million apiece to settle charges that they made false and misleading statements about a foreign exchange trading program they sold to investors. According to the…

Samarco Mineração S.A. (Samarco) and its shareholders, Vale S.A. (Vale) and BHP Billiton Brasil Ltda (BHP Billiton Brasil) have entered into a preliminary agreement with the Federal Prosecutors’ Office in Brazil (Federal Prosecutors) in relation to the Fundão tailings dam…

The Securities and Exchange Commission has announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities. Areas of focus include electronic investment advice, money market funds, and financial exploitation of senior investors. The priorities also reflect a continuing focus…

Broker ITG has agreed to pay more than $24.4 million to settle charges that it violated federal securities laws when it prompted the issuance of American Depository Receipts (ADRs) without possessing the underlying foreign shares. ADRs are U.S. securities that…

The Federal Trade Commission has announced the agenda and panelists for its upcoming "Something New Under the Sun" workshop in Washington, DC, on June 21, 2016, examining competition and consumer protection issues raised by consumers’ growing use of rooftop solar…

The Securities and Exchange Commission has proposed rules to modernize the disclosure requirements for mining properties by aligning them with current industry and global regulatory practices and standards. The proposed revisions would update disclosure requirements for mining registrants in Item…

The Securities and Exchange Commission has issued an order to extend for one year the pilot period of the National Market System Plan to Address Extraordinary Market Volatility, commonly known as the limit up-limit down (LULD) plan. The Commission also…

Washington, DC — The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) has issued a no-action letter (CFTC Letter No. 16-33) regarding the masking of certain information reportable under the ownership and control final rule (OCR Final…

MCC Construction Company (MCC) has agreed to pay $1,769,294 in criminal penalties and forfeiture for conspiring to commit fraud on the United States by illegally obtaining government contracts that were intended for small, disadvantaged businesses. MCC was a construction management…

WASHINGTON (AFNS) -- The Boeing Company was awarded a contract Jan. 29 for risk reduction activities for the Presidential Aircraft Recapitalization program, which will field the next Air Force One. This is the first contract the Air Force has awarded…

Medical devices such as the infusion pumps that deliver medication intravenously were once standalone instruments that interacted only with the patient. Today, they have operating systems and communications hardware that allow them to connect to other devices and networks. While…

Washington D.C. — A Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors about a fund’s investment strategy and historical performance. They will reimburse investors $2.877 million in losses. According…