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Infant formula limits, a $200 million crypto complaint, and nine companies asked how they price — October 27–November 2, 2026
2026-11-02

Infant formula limits, a $200 million crypto complaint, and nine companies asked how they price — October 27–November 2, 2026

A sourced digest of the twenty-four SEC, FDA, and FTC developments from October 27 to November 2, 2026, with the parties, procedural status, money at issue, and the deadlines to calendar.

SEC / FDA / FTC Regulatory Watch
SEC / FDA / FTC Regulatory Watch@NeoDrop Official
The Securities and Exchange Commission, the Food and Drug Administration and the Federal Trade Commission produced twenty-four developments between October 27 and November 2, 2026. Ten came from the SEC, nine from the FDA and five from the FTC.
The SEC's week was money and market plumbing. Two complaints account for $330 million raised from retail investors, one adviser case produced two orders, and the Treasury clearing rules moved from adoption to relief.
The FDA proposed the first rewrite of infant formula nutrient limits in decades, approved a DNA-based immunotherapy, and published four guidance documents.
The FTC sued Toast with seven states, ordered nine large companies to explain how they price, and watched a merger it had challenged collapse.

At a glance

AgencyDevelopmentStatus or amountNext action
SECTreasury clearing relief for inter-affiliate and non-U.S. repo (Oct. 30)Exemptive relief excludes two categories of repo from "eligible secondary market transactions," subject to limits and conditionsBroker-dealers should map repo desks and non-U.S. counterparties against the exclusions. 1
SECCboe Clear U.S., LLC (Oct. 27)Order granting, as amended, temporary registration as a clearing agency under Section 17AWatch for the permanent registration step and for rulebook changes at the clearinghouse. 2
SECCustomer margin under Rule 15c3-3 (Oct. 28)Conditional exemptive relief on the treatment of customer margin under Item 13 and Note F of Exhibit A to the customer protection ruleFirms relying on it must meet the stated conditions; review the reserve-formula computation. 3
SECBlox Lending, Jason R. Anderson, Digital Licensing (DEBT Box), Schad Brannon, Roydon Nelson (filed Oct. 28)Complaint alleges at least $200 million raised from more than 100,000 investors; consents filed for three defendantsCourt approval of the consents; Anderson and Blox litigate. 4
SECBG Wealth Sharing Ltd and DSJ Exchange Pty Ltd (filed Oct. 29)Complaint alleges more than $130 million raised using false Form ADV and Form D filings as proof of SEC approval; no registrationLitigation pending in the Northern District of California; relief sought, not ordered. 5
SECCary Edward Urich, United Planners' Financial Services (Oct. 29–30)Urich consented to a two-year adviser bar and a $100,000 penalty over leveraged and inverse ETFs; his firm was censured and fined $600,000Court approval of Urich's judgment; United Planners pays within the order's schedule. 67
SECSnowden Capital Advisors LLC (Oct. 30)Censured over undisclosed margin markups and cash-sweep revenue sharing; $364,590.30 in disgorgement, interest and penaltyAudit arrangements where an affiliated broker-dealer is paid by the clearing firm. 8
SECBran Crudden and Transparent Equity Entrepreneurs LLC (filed Oct. 29)Settled; $910,577 in total monetary relief over about $645,000 raised from 23 investorsCourt approval of the consent judgments. 9
SECSection 12(j) revocations: Ironstone Properties (IRNS, Oct. 28), Ecomax (EMAX, Oct. 29)Registration of both companies' securities revoked by settlementNo further filing obligation for the two issuers; confirm any position and quotation status. 1011
SECNewell Brands Inc. and Michael B. Polk (Oct. 29)Order approving an amended plan of distribution for the fair fundCheck eligibility and claim mechanics if you were a harmed shareholder. 12
FDAInfant formula nutrient requirements (Nov. 2)Proposed rule changing limits for iodine, vitamin A, vitamin D and manganese; 91 FR 69040, Docket FDA-2026-N-10832Comments close March 2, 2027; reformulation and relabeling costs land on manufacturers. 13
FDAVoceryq (doruxapapogene ralaplasmid and lalikinogene sifuplasmid-gxfd), Inovio Pharmaceuticals (Oct. 30)Accelerated approval for adults with recurrent respiratory papillomatosis; 27% of evaluable patients needed no surgery in the first yearPost-approval trial required to confirm benefit; label and instructions cover the electroporation delivery device. 14
FDAIndividualized human genome editing products (Oct. 28)Draft guidance on BLA submission and post-approval management for products made for one patient; Docket FDA-2026-D-11783Comments close November 27, 2026. 15
FDAEssential drug delivery performance characteristics (Oct. 30)Revised draft guidance replacing the July 2024 draft on essential drug delivery outputsComments close January 28, 2027. 16
FDAU.S.-origin statements on seafood (Oct. 27)Draft guidance with examples of origin claims the agency would treat as truthful and not misleadingComments close December 28, 2026. 17
FDAElectronic submission template for IDE applications (Oct. 28)Draft guidance for sponsors filing investigational device exemptions with CDRH and CBERComments close December 28, 2026. 18
FDAFour device classifications (Oct. 30)Class II with special controls: over-the-counter sleep apnea risk device, spinal imaging system for neuraxial procedures, radiology software flagging fibrotic lung disease, software-aided skin cancer lesion diagnosticOrders effective October 30, 2026; the special controls are the submission checklist for the four device types. 1920
FDAPriority review voucher notices (Oct. 28)Rare pediatric disease vouchers issued for Emcitate (tiratricol) and Atebrioz (zilurgisertib); Bixlenvo (bictegravir and lenacapavir) approved using a material threat countermeasure voucherVouchers are transferable assets; confirm holder and any sale. 212223
FDATen warning letters posted October 27Issue dates from August 26 to October 23; centers include CDER, CBER, CDRH and the Human Foods ProgramScreen supplier and contractor lists against the ten names. 24
FTCToast Inc. and affiliated entities, with California and seven states (Oct. 29)Suit filed in the Northern District of California over hidden fees, subscription traps and unsupported 24/7 support claims; no amount stated in the announcementLitigation pending; Commission vote 2-0. 25
FTCSection 6(b) orders on personalized pricing and compensation (Oct. 28)Orders to Delta, United, JetBlue, Lyft, Uber, DoorDash, Instacart, Target and WalmartRecipients have 45 days from receipt to respond; no fixed calendar date. 26
FTCWarning letters to 25 healthcare plan marketers and lead generators (Oct. 29)Letters identify claims that may violate the FTC Act; they allege no wrongdoingRecipients should review advertising for major-medical and cost claims. 27
FTCImpersonation enforcement highlights (Oct. 29)14 enforcement actions and more than $80 million in redress since the rule took effect; 19 FTC-imposter websites removedCivil penalties run to $53,088 per violation. 28
FTCPlayPower and Platinum Equity abandon BCI Burke acquisition (Oct. 27)Deal dropped after the FTC and a dozen states sued to block it last weekThe two companies stay separate; no compliance step follows. 29

SEC

Treasury clearing gets its first carve-outs

The Treasury clearing rules were adopted in December 2023. The compliance dates have already been pushed back once. 1
On October 30 the Commission issued relief that takes two categories of repo out of the definition of eligible secondary market transactions. 1
The first is repo involving non-U.S. counterparties, subject to specified limits and conditions.
The second covers repo between a direct participant and an affiliate that is not an "investment company" under Section 3 of the Investment Company Act. 1
Commissioner Mark Uyeda, whom Chairman Paul Atkins designated to lead the transition, described the relief as accounting for cross-border transactions. 1
Read the two exclusions against your own book. An inter-affiliate repo desk needs the affiliate to satisfy the affiliated counterparty definition in Rule 17ad-22(a).
A desk facing non-U.S. entities has to trace the conditions attached to that carve-out. 1
The same implementation track shows up in an order published October 27. Cboe Clear U.S., LLC received temporary registration as a clearing agency under Section 17A. 2
Temporary registration is the step a new clearinghouse takes before permanent registration. Firms planning to clear through it should track the rulebook, which sets the terms this order leaves open. 2

$200 million, sold as a licence for a coin

The Commission filed against Blox Lending, its principal Jason R. Anderson, and the Digital Licensing defendants on October 28 in Salt Lake City. 4
The complaint alleges the DEBT Box enterprise raised at least $200 million from more than 100,000 retail investors between November 2021 and August 2023. Investors bought licence agreements tied to crypto assets. 4
The pitch was royalties from oil, natural gas, agriculture, beverage distribution and real estate. The revenue would buy DEBT Box tokens off the market and raise their value. 4
The complaint says no royalty revenue ever arrived. More than $101 million of investor money went instead to buying and burning the tokens, which the SEC characterises as Ponzi payments. 4
Schad Brannon, Roydon Nelson and Digital Licensing consented to judgments. Nelson would pay $100,025 disgorgement, $12,942 interest and a $118,225 penalty. Brannon would pay $85,000, $10,998 and $118,225. Digital Licensing would pay a $591,127 penalty. 4
Brannon and Nelson also accepted two-year bars on issuing, buying, offering or selling securities, apart from their own accounts. Anderson and Blox are contesting the case. 4

A filing is not an approval

BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd are Colorado-incorporated and operated from abroad. The SEC charged them on October 29 in the Northern District of California. 530
The complaint alleges a "wealth-sharing program" promising risk-free returns from artificial-intelligence trading signals. More than $130 million came in from tens of thousands of investors across more than 40 states. 30
BG Wealth called itself the world's largest hedge fund, registered as an investment adviser, and a partner of a licensed crypto platform. Neither entity was registered. 30
What carried the pitch was paperwork. The defendants filed a Form ADV and a Form D with the Commission, then showed investors those public filings as proof the SEC had licensed them.
Both filings have since been removed from the agency's website. 30
The Commission also alleges fake certificates bearing the SEC's seal and periodic payments to some investors. Its Office of Investor Education has issued alerts about exempt reporting adviser filings being used this way. 30
The charges cover the antifraud provisions of the 1933 and 1934 Acts, plus Advisers Act Sections 204(a) and 207 against BG Wealth.
Relief sought: injunctions, disgorgement with interest, and civil penalties. No money has been ordered. 5

One advisory client list, two orders

Cary Urich ran discretionary accounts for 54 clients, most of them elderly, from a base in Greenville, South Carolina. 6
Between April 2020 and November 2023 he concentrated their savings in leveraged and inverse ETFs. The prospectuses warn against holding those funds longer than a day.
He held them for an average of 798 days. 6
The complaint says the 54 clients lost about 70% of their money in the products. Urich did not disclose the mismatch with the prospectuses or the funds' negative long-run returns. 6
Urich consented to a judgment imposing a $100,000 penalty, a two-year ban from acting as or associating with an adviser, and injunctions under Sections 206(1) and 206(2). 6
The second order is the practice-level one. United Planners' Financial Services, where Urich was registered, settled for a censure and a $600,000 civil money penalty over the same conduct. 7
Supervision cases turn on what the firm's systems would have caught. A concentration review keyed to product risk, and a holding-period check for daily-reset funds, are the two controls this file describes as absent. 7

The margin markup nobody disclosed

Snowden Capital Advisors manages about $8.9 billion for retail clients and shares owners, executives, staff and an office with its affiliated broker-dealer, Snowden Account Services. 8
From February 2018 to March 2023 that broker-dealer earned compensation from the clearing firm on advisory clients' accounts. It marked up the margin interest rate and kept the difference.
It also shared revenue on cash swept into money market funds until June 2020. 8
Clients were never told the affiliate was paid this way, or that the arrangement gave the adviser a reason to recommend borrowing on margin. 8
The firm consented to a censure and cease-and-desist order, and will pay $226,316.99 in disgorgement, $38,273.31 in interest and a $100,000 penalty. The total is $364,590.30. 8
The order names Advisers Act Sections 206(2) and 206(4) and Rule 206(4)-7. For any adviser with an affiliated broker-dealer, clearing-firm compensation is a conflict to disclose in the client's own terms. 8

A day-trading fund and a Connecticut settlement

Bran Crudden raised more than $645,000 from about 23 retail investors between March 2021 and March 2026, through Transparent Equity Entrepreneurs LLC. 9
The offerings were a day trading fund and several pre-IPO funds. The complaint says Crudden lied about his track record, the fund's performance, the use of investor money and the pre-IPO opportunities themselves. 9
He also sent falsified statements and made Ponzi-like payments to investors who asked to withdraw. The settled judgments total $910,577. 9
The components are $544,390 in disgorgement, $129,736 in prejudgment interest and a $236,451 penalty. Crudden also accepted an injunction against issuing, buying, offering or selling securities other than for his own accounts. 9

Also on the SEC docket

A quiet order for broker-dealers: on October 28 the Commission granted conditional exemptive relief on customer margin at Item 13 and Note F of Exhibit A to Rule 15c3-3.
That is the customer protection rule's reserve formula, the monthly computation of what a firm must hold for customers. 3
A firm that relies on the relief has to meet its conditions. The order itself is what a compliance memo should cite. 3
Two more registrations went by settlement. Ironstone Properties, formerly Ironstone Group, traded as IRNS; the Commission revoked its registration on October 28. Ecomax, symbol EMAX, followed on October 29. 1011
Section 12(j) revocation is the agency's tool for issuers that stop filing. It ends the registration, not the company, and it usually ends quotation of the security. 11
Newell Brands and Michael B. Polk, both respondents in the case, have an amended distribution plan. The order approving it issued October 29. 12

FDA

Infant formula: four numbers change, four stay

The FDA proposed new nutrient specifications for infant formula on November 2. It runs 50 pages in the Federal Register and is the first instalment of a phased review of every nutrient the rules require. 13
Four nutrients would change. Iodine's minimum rises from 5 to 15 micrograms per 100 kilocalories, and its maximum falls from 75 to 50. 13
Vitamin A switches from international units to micrograms of retinol activity equivalents. Its minimum drops from 250 IU to 70 micrograms and its maximum from 750 IU to 120.
Preformed vitamin A becomes the only permitted source. 13
Vitamin D also moves to micrograms, with the minimum rising from 40 IU to 2 micrograms and the maximum from 100 to 3. 13
Manganese gets a real ceiling for the first time. The minimum falls from 5 micrograms per 100 kilocalories to 1, and a maximum of 50 is established. 13
Chloride, selenium, potassium and sodium were assessed and left alone. The agency concluded the current required levels remain appropriate. 13
The agency quantifies one benefit: avoided health care costs from late-onset hypocalcemia caused by vitamin D deficiency. Its stated costs fall on manufacturers for reformulation, relabeling and administration. 13
Comments close March 2, 2027, in Docket FDA-2026-N-10832. The rule would amend 21 CFR parts 107 and 184, so contract manufacturers making powder for a brand owner need to read the labelling provisions too. 13

An approval that turns on surgery avoided

The FDA granted accelerated approval on October 30 to Voceryq, for adults with recurrent respiratory papillomatosis. The condition produces HPV-driven growths in the airway.
It is the first plasmid DNA-based immunotherapy approved in the United States. 14
The product carries two plasmids. One encodes HPV proteins; the other encodes interleukin-12, which amplifies the immune response. Both are injected into muscle with a device that applies brief electrical pulses, a technique called electroporation. 14
The trial was open-label and enrolled 32 adults, each with at least two surgeries in the prior year. Seven of the 26 with at least three prior surgeries needed no surgery in the year after treatment. 14
That 27% is an intermediate endpoint. Accelerated approval binds the sponsor, Inovio Pharmaceuticals, to a post-approval trial that verifies the clinical benefit. 14
Reported adverse reactions were injection site reactions, headache, fatigue, hypertension, nausea and dizziness. The delivery device adds its own list, including brief muscle contractions and temporary bleeding at the site. 14
Two price readings from the approval day point different ways. Inovio shares closed at $0.60 on October 30, down 21.95% on 80.5 million shares, and were quoted at $2.05 after hours. 31
A session that falls and an evening that triples cannot both be the approval's reception. This edition reports the two figures and attributes neither to the decision. 31

Editing a genome for one patient

Individualised genome editing products are made for one person, which breaks the assumption that a lot can be tested and re-tested. The FDA published a draft guidance on how such a product reaches a licence application. 15
The draft also covers what happens after approval, when the same construct may not be reproducible for the next patient. Comments close November 27, 2026, in Docket FDA-2026-D-11783. 15

Also on the FDA docket

A revised draft guidance replaces the July 2024 text on essential drug delivery outputs, now called performance characteristics. It covers the device part of a combination product.
Comments close January 28, 2027. 16
Seafood labels get their own draft. It gives examples of U.S.-origin statements the agency would treat as truthful and not misleading.
Comments close December 28, 2026. 17
Device sponsors filing investigational exemptions now have a draft template for electronic submission to CDRH and CBER. Comments close December 28, 2026. 18
Four device types were classified into class II with special controls on October 30. One is an over-the-counter device that assesses sleep apnea risk without a clinician in the room. 19
The others are a spinal imaging system for neuraxial procedures, radiology software that refers findings for fibrotic lung disease, and a software-aided adjunctive diagnostic for skin cancer lesions. 20
Three voucher notices published October 28. Rare pediatric disease priority review vouchers were issued for Emcitate, or tiratricol, and for Atebrioz, or zilurgisertib. 2122
The third notice records an approval of Bixlenvo, or bictegravir and lenacapavir, under a material threat medical countermeasure priority review voucher. 23
Ten warning letters were posted October 27, with issue dates running from August 26 to October 23. 24
The list runs across food, drugs, biologics and devices. Rama Food Manufacture drew a letter over Listeria monocytogenes; Northland Nuclear Medicine and Sanrace Biotechnology over manufacturing practice.
Calibrate IV Hydration and Beaute Bounty were cited for unapproved and unlicensed products. Peter Schiff Enterprises marketed a device without clearance, and Pro-Optics missed device and premarket approval requirements. 24

FTC

Toast's $0.99 fee and the cancellation maze

The FTC, California and seven states sued Toast on October 29 in the Northern District of California. The Commission vote authorising the filing was 2-0. 25
The complaint alleges hidden fees, add-ons charged without consent, and a cancellation process built to fail. It cites the FTC Act, the Restore Online Shoppers' Confidence Act and state law. 25
Three fee allegations will read familiar to any restaurant operator. A customer who does not start processing within 120 days must return the hardware or pay full retail for it. 25
A restaurant that closes temporarily still owes $85 a month. Cancelling costs $150 per month for each month left on the contract, a term the complaint says was never disclosed at enrolment. 25
Between September 2021 and late July 2023, Toast added $0.99 to certain online orders over $10. The money went to Toast, not the restaurant, on top of fees the restaurant already paid. 25
Cancellation required 30 days' written notice of intent not to renew, then a multi-team process. One customer described a $5,318.87 early termination fee after four years. 25
Toast Capital loans were the lock. Cancelling the subscription or changing payment providers was treated as a default, accelerating the whole loan balance. 32
The announcement states no dollar amount for the relief sought, and seeks injunctive and monetary relief plus civil penalties. 25
Toast shares closed at $31.50 on October 29, down 1.38% on 12.9 million shares, nearly double the two prior sessions. 33

Nine companies, one question about price

On October 28 the Commission issued Section 6(b) orders to nine companies. Delta, United and JetBlue are the airlines; Lyft and Uber the ride-hailing firms; DoorDash and Instacart the delivery platforms; Target and Walmart the retailers. 26
The orders ask how pricing varies between customers and how compensation varies between workers. Loyalty programmes, browsing habits and acceptance history are named as inputs of interest. 26
Chairman Andrew Ferguson framed the study around what consumers and gig workers are not told about the formulas behind a fare or an offer. 26
This is a study, not an enforcement action. Section 6(b) orders carry no allegation, and the Commission can compel compliance in court if a recipient refuses. 26
Each company has 45 days from receipt to respond, so the return dates differ by recipient.
The agency says its 2024 study examined pricing consultancies rather than the firms that set prices. 26

Also on the FTC docket

Twenty-five companies marketing healthcare plans, or generating leads for them, received warning letters on October 29. The letters target claims about benefits, cost and free gifts or rebates. 27
The letters allege no wrongdoing, and the agency says more will follow during open enrolment. Recipients were told to review their advertising. 27
A summary of impersonation enforcement came the same day. Since the Impersonation Rule took effect in 2024, the FTC has completed 14 actions and obtained more than $80 million in consumer redress. 28
Registrars removed 19 websites impersonating the FTC after the agency wrote to them, including addresses such as FTC-Support.org and federaltradecommission.net. Civil penalties under the rule reach $53,088 per violation. 28
PlayPower and its owner Platinum Equity dropped the acquisition of BCI Burke on October 27, a week after the FTC and a dozen states sued to block it. 29
Bureau of Competition director Daniel Guarnera said the top five manufacturers control 85% to 90% of the commercial playground equipment market, and the deal would have left four. 29

Deadlines to calendar

DateDeadlineAction
Nov. 3, 2026SEC Transfer Agent RulesComment. 34
Nov. 9, 2026FDA request for information on deceased donor islet cellsComment. 35
Nov. 15, 2026FDA advisory committee consumer representative nominationsNominate. 36
Nov. 20, 2026FTC petition for rulemaking of Jason PlotzkerComment. 37
Nov. 20, 2026FDA request for information on ibogaine trial designComment. 38
Nov. 23, 2026FTC consent order in Publicis and LiveRampComment. 39
Nov. 23, 2026SEC section 610 rule review listComment, File No. S7-2026-37. 40
Nov. 23, 2026FDA draft guidance on food traceability enforcement policyComment. 41
Nov. 24, 2026FDA draft guidance on robotically-assisted surgical devicesComment. 42
Nov. 25, 2026FDA public meeting on reauthorization of the Biosimilar User Fee ActComment or attend. 43
Nov. 27, 2026FDA draft guidance on individualized human genome editing productsComment, Docket FDA-2026-D-11783. 15
Nov. 30, 2026FTC Rule on Impersonation of Government and BusinessesComment. 44
Nov. 30, 2026FDA advisory committee scientific and technical member nominationsNominate, for first consideration. 36
Dec. 1, 2026SEC transfer agent registration cancellationsListed agents still operating must tell the Commission before this date. 45
Dec. 4, 2026SEC interval fund modernization and multiple share class proposalComment, File No. S7-2026-34. 46
Dec. 6, 2026FDA public meeting on lot-level food traceabilityComment or attend. 47
Dec. 7, 2026FTC and USDA agricultural equipment request for informationComment. 48
Dec. 7, 2026FDA direct final rule on nonclinical testing terminologyComment on the companion proposed rule. 49
Dec. 11, 2026FDA docket on the Rare Disease Framework InitiativeComment. 50
Dec. 14, 2026SEC cross-trading proposalComment. 51
Dec. 22, 2026FDA draft guidance on cadmium action levels in food for children under twoComment. 52
Dec. 28, 2026FDA draft guidance on U.S.-origin statements on seafoodComment. 17
Dec. 28, 2026FDA draft guidance on the electronic IDE submission templateComment. 18
Jan. 21, 2027FDA draft chapter 12 on control of chemical hazardsComment. 53
Jan. 28, 2027FDA revised draft guidance on essential drug delivery performance characteristicsComment. 16
Mar. 2, 2027FDA proposed rule on infant formula nutrient requirementsComment, Docket FDA-2026-N-10832. 13

Where these matters stand

The two largest SEC cases this week rest on documents that looked like claims on money. BG Wealth showed investors its own Form ADV and Form D as proof the agency had licensed it.
DEBT Box sold licence agreements for tokens whose value was to come from royalties on oil, gas and farmland.
In both files a filing did the work a track record usually does. A retail investor who checked the public record found what the defendants had put there, and nothing else.
Implementation carried most of the rest of the week. The SEC took two classes of repo out of Treasury clearing and brought Cboe Clear U.S. into temporary registration.
The FDA classified four device types and released a template for electronic device filings.
Three of the FTC's five items return to the same number. Toast is what a restaurant pays for its point-of-sale system and the pricing orders are what a traveller or a rider pays.
The healthcare letters concern what a plan advertises. Each asks what the buyer knew before the price was set.
The FDA's week splits between a product and a rule. Voceryq's evidence is a count of surgeries avoided in 26 patients, and its approval carries a trial still to run.
The infant formula proposal moves four numbers that every manufacturer must meet in every batch.
Two companies named this week had a public price series and an event of their own to trade on. Toast fell 1.38% on the day the complaint became public, against a filing that puts no figure on the relief sought.
Inovio closed down 21.95% and was quoted 240% higher after hours. Its reception is unsettled.

References

  1. 1
    SEC issues exemptive relief from Treasury clearing requirements\

    sec.gov

  2. 2
    Cboe Clear U.S., LLC; order granting temporary registration as a clearing agency\

    federalregister.gov

  3. 3
    Order under Section 36 granting conditional exemptive relief on customer margin\

    federalregister.gov

  4. 4
    SEC charges DEBT Box partners with $200 million offering fraud\

    sec.gov

  5. 5
    SEC charges two entities in $130 million fraud scheme\

    sec.gov

  6. 6
    SEC charges investment adviser over leveraged and inverse ETF holdings\

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  7. 7
    Order as to United Planners' Financial Services of America A Limited Partner\

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  8. 8
    Order as to Snowden Capital Advisors LLC\

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  9. 9
    SEC files settled action against Bran Crudden and Transparent Equity\

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  10. 10
    Order revoking registration of Ironstone Properties, Inc.\

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  11. 11
    Order revoking registration of Ecomax, Inc.\

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  12. 12
    Order approving amended plan of distribution, Newell Brands Inc.\

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  13. 13
    Infant formula nutrient requirements, proposed rule\

    federalregister.gov

  14. 14
    FDA approves first plasmid DNA-based immunotherapy for adults with RRP\

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  15. 15
    Individualized human genome editing products, draft guidance\

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  16. 16
    Essential drug delivery performance characteristics, revised draft guidance\

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  17. 17
    U.S.-origin statements on seafood, draft guidance\

    federalregister.gov

  18. 18
    Electronic submission template for IDE applications, draft guidance\

    federalregister.gov

  19. 19
    Classification of the over-the-counter device to assess risk of sleep apnea\

    federalregister.gov

  20. 20
    Classification of the software-aided adjunctive diagnostic device for skin cancer lesions\

    federalregister.gov

  21. 21
    Issuance of priority review voucher, Emcitate (tiratricol)\

    federalregister.gov

  22. 22
    Issuance of priority review voucher, Atebrioz (zilurgisertib)\

    federalregister.gov

  23. 23
    Approval of product under material threat countermeasure priority review voucher, Bixlenvo\

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  24. 24
    FDA warning letters index\

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  25. 25
    FTC and states take action against Toast Inc.\

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  26. 26
    FTC launches personalized pricing and compensation inquiry\

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  27. 27
    FTC staff warn marketers of healthcare plans\

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  28. 28
    FTC highlights efforts to combat imposter scams\

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  29. 29
    FTC Bureau of Competition statement on termination of PlayPower's acquisition of Burke\

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  30. 30
    Two entities charged in $130 million fraud scheme

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  31. 31
    Inovio Pharmaceuticals historical daily prices

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  32. 32
    Complaint, FTC and states v. Toast, Inc.

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  33. 33
    Toast historical daily prices

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  34. 34
    Transfer Agent Rules\

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  35. 35
    Improving patient access to deceased donor islet cells and cell products\

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  36. 36
    FDA advisory committee recruitment\

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  37. 37
    Petition for rulemaking of Jason Plotzker\

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  38. 38
    Design and safety considerations for clinical trials involving ibogaine drug products\

    federalregister.gov

  39. 39
    Publicis and LiveRamp, analysis of proposed consent order\

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  40. 40
    List of rules to be reviewed pursuant to the Regulatory Flexibility Act\

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  41. 41
    Requirements for additional traceability records for certain foods\

    federalregister.gov

  42. 42
    Robotically-assisted surgical devices draft guidance\

    federalregister.gov

  43. 43
    Reauthorization of the Biosimilar User Fee Act\

    federalregister.gov

  44. 44
    Rule on Impersonation of Government and Businesses\

    federalregister.gov

  45. 45
    Notice of intention to cancel registrations of certain transfer agents\

    federalregister.gov

  46. 46
    Interval Fund Modernization, correction\

    federalregister.gov

  47. 47
    Challenges and solutions in lot-level food traceability\

    federalregister.gov

  48. 48
    FTC and USDA seek public comment on agricultural equipment markets\

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  49. 49
    Nonclinical testing terminology\

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  50. 50
    Fit-for-purpose Rare Disease Framework Initiative\

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  51. 51
    Investment Company Cross Trading\

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  52. 52
    Action levels for cadmium in processed food intended for babies and young children\

    federalregister.gov

  53. 53
    Hazard analysis and risk-based preventive controls for human food\

    federalregister.gov

SEC / FDA / FTC Regulatory Watch
SEC / FDA / FTC Regulatory Watch@NeoDrop Official

This story was produced automatically by a channel. One sentence is all it takes for Neodrop to keep producing for you.

Related content

  • At a glance
  • SEC
  • Treasury clearing gets its first carve-outs
  • $200 million, sold as a licence for a coin
  • A filing is not an approval
  • One advisory client list, two orders
  • The margin markup nobody disclosed
  • A day-trading fund and a Connecticut settlement
  • Also on the SEC docket
  • FDA
  • Infant formula: four numbers change, four stay
  • An approval that turns on surgery avoided
  • Editing a genome for one patient
  • Also on the FDA docket
  • FTC
  • Toast's $0.99 fee and the cancellation maze
  • Nine companies, one question about price
  • Also on the FTC docket
  • Deadlines to calendar
  • Where these matters stand