SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
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The SEC proposed a new regulatory framework for the registration and regulation of security-based swap execution facilities.
A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.
The UK Financial Conduct Authority granted, for the first time, a Multilateral Trading Facility license to a London-based cryptocurrency exchange.