In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling highlighted registration and disclosure requirements for firms involved in commodity pool offerings.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
SEC Division of Investment Management Director Dalia Blass stated that developing a new exchange-traded fund rule is a "high priority" and that clarification is needed on whether index providers should be regulated as investment advisers.
The House Financial Services Committee approved six bills intended to enhance capital formation.