The NFA issued three notices covering regulatory obligations, recent amendments and rule interpretations for (i) FCM, FDM and IB Members, (ii) CPO and CTA Members and (iii) Swap Dealer Members.
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In a comment letter, NFA offered additional recommendations to IOSCO on proposed policy guidance for regulators and crypto asset services providers.
The SEC set a comment deadline on amendments to NFA compliance rules and interpretations related to AML suspicious activity report confidentiality.
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.
IOSCO's fifth annual World Investor Week will focus on sustainable finance, and fraud and scams prevention.