The SEC Division of Examinations identified compliance deficiencies by investment advisers that provide digital investment advisory services.
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In a report submitted to Congress, the SEC Office of the Advocate for Small Business Capital Formation summarized policy recommendations made by participants at the SEC's 40th Annual Small Business Forum.
CFTC amendments to the conditions under which non-U.S. CPOs qualify for exemption from registration were published in the Federal Register.
NFA reminded registrants that the annual affirmation requirement for entities claiming exemption from CPO or CTA registration is March 1, 2021.
CFTC amendments to the reporting requirements for CPOs and CTAs and Form CPO-PQR were published in the Federal Register.