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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A firm settled FINRA charges for (i) allowing paid influencers to make posts on social media that involved unfair, exaggerated or false claims and (ii) failing to review such posts prior to their posting.
SEC Chair Gary Gensler warned investment advisers, broker-dealers and public companies that misstating their use of AI in investment strategies or company operations may violate securities laws.
The NFA submitted to the CFTC proposed changes to bylaws related to the qualifications for public directors on the NFA's Board.
An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.