The SEC delayed its decision on a proposed rule change by Nasdaq that would allow the listing of exchange-traded funds based on Ethereum.
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A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
The Board of Governors of the Federal Reserve adopted new operational risk management requirements for systemically important designated clearing organizations.
The CFTC extended the comment period until April 1, 2024, for a proposed rule that would require that futures commission merchants and swap dealers establish and maintain an "Operational Resilience Framework."
A firm settled with FINRA for failing to (i) supervise the use of personal email for business-related communications, (ii) retain certain business-related email communications and (iii) adopt written policies and procedures to safeguard customer records and information.