The New York State Attorney General sued a cryptocurrency platform for (i) failing to register as a securities and commodities broker-dealer and (ii) falsely representing itself as a cryptocurrency exchange.
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A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.
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.