SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
News & Insights
Comments on an SEC-proposed new regulatory framework for the registration and regulation of security-based swap execution facilities are due by June 10, 2022.
The SEC reopened the comment periods for proposals to (i) expand the scope of Regulation ATS and (ii) expand regulation of private fund advisers. As outlined in a notice in the Federal Register, comments for both proposals are now due by June 13, 2022.
The SEC charged three cryptocurrency entities and their founder with engaging in the unregistered offering of a crypto-asset.
The SEC charged two crypto firms, one an issuer and the other its agent, with conducting an unregistered securities offering through a program where retail investors, among others, could "loan" crypto-assets to the issuer in return for an obligation of the issuer to return the assets with interest.