The CFTC sanctioned a digital asset commodity trading platform for failing to register with the CFTC as either a DCM or an FCM and offering trading in CFTC-regulated products to retail investors.
A broker-dealer settled SEC charges for operating as an unregistered municipal advisory firm by providing advice to a municipality regarding securities that were purchased with the proceeds from an issuance of bonds.
The CFTC Division of Clearing and Risk granted Taiwan Futures Exchange's request for no-action relief from the requirement to register as a derivatives clearing organization.
SEC Chair Gary Gensler contended that the "vast majority" of cryptocurrency tokens on the market are securities subject to SEC regulation.
SIFMA and SIFMA Asset Management Group criticized the SEC's Request for Information on the activities of "information providers," calling it unnecessary and outside of the jurisdiction of the SEC's authority.