In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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House Financial Services Subcommittee Chair Blaine Luetkemeyer (R-MO) requested information from the SEC and FINRA on their efforts to address "serious" national security issues raised by broker-dealers that have ownership connections to the Chinese Communist Party.
NFA set an effective date of May 31, 2023 for recently adopted rules which establish requirements applicable to firms engaging in "digital asset commodity" activities.
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.
NFA submitted for adoption a CFTC compliance rule to implement anti-fraud, trading, and supervisory requirements for firms engaging in digital asset commodity activities.