Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
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The NFA submitted to the CFTC proposed changes to bylaws related to the qualifications for public directors on the NFA's Board.
The SEC named Natasha Vij Greiner incoming Director of the Division of Investment Management. Current Director William Birdthistle will step down on March 8, 2024.
The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."