A CPO/CTA, operating a pool that invests in digital assets, settled CFTC charges for late and inaccurate statements to pool participants and NFA, and related supervisory violations.
The SEC Division of Trading and Markets granted no-action relief to a security-based swap dealer, allowing the firm to incorporate "certain annual reports and reviews for the first fiscal year after the Firm’s registration . . . into the reports and reviews for the Firm’s second fiscal year."
Two affiliated investment advisers settled SEC charges for failing (i) to disclose conflicts of interest associated with certain revenue sharing agreements and (ii) to seek best execution for their clients.
A broker-dealer settled NYSE charges for failing to implement adequate credit limit and erroneous order controls.
A broker-dealer settled FINRA charges for failing to (i) reasonably monitor, investigate and act upon red flags concerning variable annuity exchange recommendations and (ii) monitor use of external email and preserve business-related emails.