Aggregated News From Investment Management Regulators


SEC Charges Founder of Nikola Corp. With Fraud

The Securities and Exchange Commission today announced charges against Trevor R.

Treasury Joins Administration Call to Action to Alert Americans to Emergency Rental Assistance and Promote CFPB “Rental Assistance Finder”

New tool connects tenants and landlords to Emergency Rental Assistance programs in their area Deputy Treasury Secretary Adeyemo visits Virginia – second-highest distributor of Emergency Rental Assistance nationwide The U.S. Department of the Treasury joined the White House, multiple agencies, non-profits, and major companies in raising awareness about the historic emergency rental assistance available to Americans in need. Renters and landlords looking for assistance can now use the Consumer Financial Protection Bureau’s new “Rental Assistance Finder” tool ( to find information on rental assistance in their area. Treasury is sharing the new look up tool with state and local governments and...

Canadian securities regulators propose streamlined capital raising option for Canadian-listed issuers

Vancouver – The Canadian Securities Administrators (CSA) is proposing to introduce a new prospectus exemption for issuers listed on a Canadian stock exchange that is expected to provide a more effici

CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption

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Treasury Sanctions Syrian Regime Prisons, Officials, and Syrian Armed Group

Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is sanctioning eight Syrian prisons run by the Assad regime’s intelligence apparatus, which have been sites of human rights abuses against political prisoners and other detainees. OFAC is also designating five senior security officials of regime entities that control these detention facilities. The Assad regime has waged a ruthless war against the Syrian people, imprisoning hundreds of thousands of Syrians calling for reform and change, of whom at least 14,000 have been tortured to death. More than 130,000 people reportedly remain missing or arbitrarily detained to...

SEC Charges Unlicensed Broker With Defrauding Investors

The Securities and Exchange Commission today charged Joshua L. Rupp of Michigan for engaging in securities fraud and for acting as an unregistered broker-dealer.  The SEC’s complaint, filed in the U.

Treasury Designates Al-Qa’ida-Linked Financial Facilitators in Turkey and Syria

Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) designated one Turkey-based al-Qa’ida financial facilitator for materially assisting al-Qa’ida. Additionally, OFAC designated one Syria-based terrorist fundraiser and recruiter for providing material support to Hay’et Tahrir Al-Sham (HTS). These designations expose the continued efforts by al-Qa’ida and HTS to use the global formal financial system and highlight the need for continued vigilance against terrorist fundraising and recruitment on the internet. “Terrorist groups like al-Qa’ida and HTS continue to raise funds, recruit online, and exploit the international banking sector to support their ongoing terrorist activities,” said Office of...

CFPB Releases Online Tool to Help Renters and Landlords Access Federal Assistance

The Consumer Financial Protection Bureau (CFPB) today released an online tool to help renters and landlords impacted by the pandemic easily find and apply for payment assistance for rent, utilities and other expenses. The Rental Assistance Finder, available at, connects renters and landlords with the state and local programs that are distributing billions of dollars in federal assistance nationwide to help renters stay housed during the pandemic. “Millions of people are behind on their rent and at risk of eviction as a result of the pandemic,” said CFPB Acting Director Dave Uejio. “The Rental Assistance Finder will make it...

Counter Terrorism Designations; Syria and Syria-Related Designations and Designations Updates

SPECIALLY DESIGNATED NATIONALS LIST UPDATE The following individuals have been added to OFAC's SDN List:  AL-DEKER, Asef (a.k.a. AL-DIKR, Asf; a.k.a. DAKKAR, Asef), Syria; DOB 1965; POB Jableh, Beit Yashout, Syria; nationality Syria; Gender Male; Brigadier General (individual) (Linked To: SYRIAN MILITARY INTELLIGENCE DIRECTORATE). AL-DIB, Ahmed (Arabic: احمد الدیب) (a.k.a. DEEB, Ahmad; a.k.a. DEEB, Ahmed; a.k.a. DIB, Ahmad; a.k.a. DIB, Ahmed (Arabic: احمد دیب); a.k.a. DIBE, Ahmad; a.k.a. DIBE, Ahmed (Arabic: احمد دیبئ)), Damascus, Syria; DOB 1961; POB Ayn Al-Tineh Village, Latakia, Syria; nationality Syria; Gender Male; Brigadier General (individual) (Linked To: SYRIAN GENERAL INTELLIGENCE DIRECTORATE). AL-HAYES, Ahmad Ihsan Fayyad (Arabic:...

New Deputy Head of the Fiduciary Services Division Appointed

The Cayman Islands Monetary Authority (“CIMA” or “the Authority”) is pleased to announce the appointment of Mrs. Reisan Moiten as Deputy Head of the Fiduciary Services Division, effective 1 July 2021.

CFPB Finds Credit Applications Have Mostly Recovered to Pre-Pandemic Levels

The Consumer Financial Protection Bureau (CFPB) today published an issue brief showing that consumer applications for auto loans, new mortgages and revolving credit cards had mostly returned to pre-pandemic levels by May 2021. Prime and near-prime consumers are driving this recovery as applications remain down from borrowers with subprime and deep subprime for all types of credit and, for borrowers with superprime credit scores, applications are down for all types of credit but mortgages. The report also provides a state-by-state analysis of the change in credit applications for auto loans, new mortgages, and revolving credit cards and shows wide...


The Manitoba Securities Commission issued its Reasons for Decisions today in the above named matter, which was heard on June 11, 2021. A copy of the Reasons for Decision, issued July 16, 2021, is available at Chris Besko Secretary to the Commission For Investor Inquiries: 204-945-2548 1-800-655-5244 (Manitoba only) This news item was originally published by the Manitoba Securities Commission (MSC CA). For more information, please see the Source Link.

Regulator Information

Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FCNB
Jurisdiction: Canada
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: UST
Jurisdiction: United States

Recent Articles

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The Securities and Exchange Commission today announced charges against Trevor R.

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