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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An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
Following a comprehensive two-year examination of carbon markets, the CFTC proposed guidance on the listing of voluntary carbon credit derivative contracts.
A broadband connectivity company settled charges with the SEC for failing to maintain internal accounting controls intended to ensure that the company's stock buybacks were conducted in accordance with management authorizations.