NFA questioned the "proposed methodology" of a CFTC proposal that would apply to direct clearing of transactions by customers not intermediated through an FCM.
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CFTC Commissioner Summer K. Mersinger asserted that the Basel III Endgame Proposal, if adopted, would have a significant negative impact on derivatives markets.
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.
New York Attorney General Letitia James sued a bank for failing to (i) protect victims of electronic fraud and (ii) reimburse their losses.
The Managed Funds Assets recommended that regulators obtain more data before imposing clearing regulations on the Treasury market.