At a meeting of the CFTC Technology Advisory Committee, industry representatives considered presentations on automated and modern trading markets, distributed ledger technology and market infrastructure, virtual currencies, and cybersecurity.
FINRA notified firms that the annual registration Renewal Program begins on November 11, 2019. Preliminary fee statements will be available for firms at that time.
The Investment Company Institute and the Managed Funds Association responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
The House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets examined several proposed bills concerning the current exempt offering framework in private securities markets.
On September 14, 2018, the CFTC filed and settled 12 enforcement actions against multiple firms and individuals for registration, position limits, recordkeeping, supervisory and reporting violations.