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 Federal Reserve Bank and the Office of the Comptroller of the Currency fined a bank for failing to monitor firm and client trading activities.
A firm settled FINRA charges for improperly programming trading algorithms, which resulted in orders being improperly sent to the market.
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.