FINRA reorganized its Market Regulation and Transparency Services into distinct functional areas "rather than around specific rules or products."
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CFTC Commissioner Summer K. Mersinger asserted that the Basel III Endgame Proposal, if adopted, would have a significant negative impact on derivatives markets.
A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
The FIA released its December 2023 data on customer funds held at US FCMs.