In a speech before the Piper Sandler Global Exchange Conference, SEC Chair Gary Gensler floated a wide variety of possible changes to market trading rules.
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At the 8th Annual Conference on Financial Market Regulation, SEC Commissioner Caroline A. Crenshaw identified private securities markets, Regulation Best Interest disclosures and the Consolidated Audit Trail as areas where the SEC should obtain more information to ensure data-driven rulemakings.
In a series of Notices, NFA reminded member firms, by type, of their regulatory obligations based on common examination deficiencies.
SEC Chair Jay Clayton, Division of Corporation Finance Director William Hinman, Division of Investment Management Director Dalia Blass and Division of Trading and Markets Director Brett Redfearn provided updates on the SEC's various pandemic relief measures.
NFA highlighted certain regulatory obligations and available resources for (i) CPOs/CTAs, (ii) swap dealers, and (iii) futures commission merchants, forex dealer members and introducing brokers.