A company and several associates settled CFTC charges for failing to register as commodity trading advisors while offering foreign currency transactions to retail customers.
A Swiss company settled separate CFTC and SEC charges for (i) acting as a futures commission merchant without registering with the agency and (ii) dealing in unregistered security-based swaps.
FINRA notified firms that the annual registration Renewal Program begins on November 11, 2019. Preliminary fee statements will be available for firms at that time.
An SEC proposal amending the application process for funds seeking exemptive relief under the Investment Company Act of 1940 was published in the Federal Register.
The SEC Division of Trading and Markets issued a time-limited no-action letter allowing a New York limited purpose trust company to use blockchain technology to settle equities securities trades.
The SEC filed an emergency action against the owners and operators of a mobile messaging application to discontinue their allegedly illegal securities offering of digital assets known as "Grams."
The CFTC Division of Swap Dealer and Intermediary Oversight provided time-limited no-action relief to a firm and its employees from certain registration requirements.
