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.
A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.