The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.
News & Insights
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.
The CFTC Market Participants Division issued a new letter expanding the scope of relief from certain rules for "intended-to-be-cleared" swaps.
Four investment advisers settled charges for violating the SEC's "pay-to-play" rule by accepting compensation from "government entities" for advisory services during the rule's "time out" period after one or more covered associates of each adviser made campaign contributions.