The SEC set November 8, 2021 as the "data collection initiation date" marking the end of the "phase-in" period for the de minimis threshold for registration as a security-based swap dealer.

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.

SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.

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 founders of a cryptocurrency derivatives exchange settled CFTC charges related to owning and operating an unregistered platform.

Comments must be submitted to the SEC on or before May 27, 2022 for an SEC proposal to further define the phrase "as part of a regular business" used in the statutory definitions of "dealer" and "government securities dealer".

In the United States District Court for the Southern District of New York, the SEC obtained a final judgment against an adviser and his UK-based financial services firm for engaging in billions of dollars of U.S. securities transactions without registering as a broker-dealer.

The SEC proposed a new regulatory framework for the registration and regulation of security-based swap execution facilities.

The SEC sued an individual and his investment firm for their roles in defrauding investors through the selling of securities in a California real estate investment and management company.

The SEC proposed two new rules that would further define the phrase "as part of a regular business" found in Securities Exchange Act regulations on "dealers" and "government securities dealers."