A broker-dealer settled FINRA charges for failing to reasonably supervise suitability recommendations in connection with the offering of private placements and filing required documents late.
NFA notified its members that swap dealers must electronically file required notices related to swap dealer initial margin models.
A broker-dealer settled FINRA charges for failing to accurately report over-the-counter options positions to the Large Options Position Reporting system and for related supervisory violations.
The SEC and the CFTC proposed amendments to Form PF that would increase regulatory oversight of private fund advisers and the funds they advise. The proposed amendments would require advisers to (i) report more detailed data on investment strategies and exposures, and (ii) report separately on a newly defined sub-asset class for digital assets.