SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
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A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.
ISDA urged the International Accounting Standards Board to address forthcoming Interbank Offered Rate reform issues in its exposure draft on interest rate benchmark reform.
In testimony before the U.S. Senate Banking Committee, SEC Chair Jay Clayton outlined his priorities and the SEC's regulatory agenda going forward.