The CFTC and the North American Securities Administrators Association signed an agreement to share confidential information in order to improve and increase the impact of enforcement-related activities.
On June 23, 2017, the North American Securities Administrators Association will hold a cybersecurity roundtable. Industry experts and regulators will discuss cybersecurity developments and information-protection measures.
In a set of recommendations to Congress, the North American Securities Administrators Association emphasized protections for retail investors, seniors and securities markets, as well as the continued "empowerment" of state regulatory authorities.
The SEC and the North American Securities Administrators Association entered into a memorandum of understanding to ensure that recently adopted exemptions to intrastate crowdfunding and regional offering requirements are "facilitating access to capital for small business."
Risk Desk Editor John Sodergreen examined the evolution of the financial technology industry in light of Acting Chair J. Christopher Giancarlo's stated intention to "embrace Fintech to a level not seen before at the agency."
"The Risk Desk" editor John R. Sodergreen described the debate between CFTC Chair Timothy Massad and Commissioner Chris Giancarlo over an amendment to proposed Regulation Automated Trading that would allow the CFTC access to an algorithmic firm's trading source code without first issuing a subpoena.
Energy Metro Desk Editor John Sodergreen described the emerging debate over the CFTC's proposed Regulation Automated Trading, particularly where it concerns proposed access to source code without a subpoena.
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