SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
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An exchange-traded commodity pool trading oil futures and its general partner, a CPO, settled parallel SEC and CFTC charges for misleading disclosure statements.
The SEC Office of Investor Education and Advocacy and the CFTC Office of Customer Education and Outreach cautioned investors on the risks associated with investing in a fund that has exposure to the Bitcoin futures market.
A bank settled DOJ and SEC charges for Foreign Corrupt Practices Act violations in connection with its use of third-party intermediaries, business development consultants and finders.
An SEC and CFTC joint final rule reducing the margin requirements for security futures was published in the Federal Register.