In the United States District Court for the Southern District of New York, the SEC obtained a final judgment against an adviser and his UK-based financial services firm for engaging in billions of dollars of U.S. securities transactions without registering as a broker-dealer.
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A broker-dealer settled FINRA charges for registration failures involving two foreign affiliate firm employees who conducted transactions in proprietary trading accounts.
In a recent address, CFTC Commissioner Dawn D. Stump offered her perspective on regulatory harmonization, cross-border swap regulations, data protection and the CFTC's proposal on position limits.
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
SEC Chair Jay Clayton encouraged the Investor Advisory Committee to consider approaches to regulation that foster competition in areas where competition may be limited.