An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
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A cryptocurrency exchange settled charges for failing to register with the SEC as a "dealer" in securities.
The CFTC issued Orders permitting the clearing activities of the Taiwan Futures Exchange and ICE NGX Canada.
The CFTC proposed amendments to allow foreign trade boards ("FBOTs") to offer direct trading access to U.S.-based introducing broker participants and to establish a process for FBOTs to request revocation of their registration.
The SEC adopted two new rules requiring certain market participants that "play an increasingly significant liquidity providing role," to register with the SEC as broker-dealers or as government securities broker-dealers under the Securities Exchange Act.