The Securities and Exchange Commission announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected.

This paper contains the FCA’s approach to crowdfunding over the Internet and the promotion of non-ready realizable securities by other media.

The Securities and Exchange Commission announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years.

The FCA has released a guide for consumers, financial service providers and claims management companies on how consumers’ complaints should be handled where they choose to use a claims company.