The SEC set a comment deadline on amendments to NFA compliance rules and interpretations related to AML suspicious activity report confidentiality.
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The DOJ, the SEC and the CFTC charged the Alameda Research CEO and the FTX Chief Technology Officer in schemes to defraud FTX's customers and investors.
The U.S. House of Representatives passed a bill that would direct the CFTC and SEC to jointly create a digital assets working group.
In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
In a joint statement, the CFTC, FinCEN and the SEC reminded those engaged in digital asset transactions to comply with anti-money laundering and countering the financing of terrorism obligations under the Bank Secrecy Act.