The CFTC extended the comment period until April 1, 2024, for a proposed rule that would require that futures commission merchants and swap dealers establish and maintain an "Operational Resilience Framework."
News & Insights
The CFTC proposed a rule to require that futures commission merchants and swap dealers establish and maintain an "operational resilience framework" focusing on three components: information and technology security, third-party relationships and disruptions to standard business operations.
The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.
NFA set an effective date of May 31, 2023 for recently adopted rules which establish requirements applicable to firms engaging in "digital asset commodity" activities.
NFA submitted for adoption a CFTC compliance rule to implement anti-fraud, trading, and supervisory requirements for firms engaging in digital asset commodity activities.