In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
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In a joint statement, the CFTC, FinCEN and the SEC reminded those engaged in digital asset transactions to comply with anti-money laundering and countering the financing of terrorism obligations under the Bank Secrecy Act.
The SEC, CFTC and Federal Reserve adopted an interagency final rule intended to simplify the Volcker Rule.
At a conference held in New York, senior regulators discussed developments in data reporting, clearing and settlement, and the ongoing evolution of Treasury Market structure and liquidity.
Five regulatory agencies outlined developments in the U.S. Treasuries market since the release of their Joint Staff Report on July 13, 2015.