NFA submitted for adoption a CFTC compliance rule to implement anti-fraud, trading, and supervisory requirements for firms engaging in digital asset commodity activities.
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The CFTC Market Participants Division issued a new letter expanding the scope of relief from certain rules for "intended-to-be-cleared" swaps.
Four investment advisers settled charges for violating the SEC's "pay-to-play" rule by accepting compensation from "government entities" for advisory services during the rule's "time out" period after one or more covered associates of each adviser made campaign contributions.
An investment adviser settled SEC charges for failing to fully disclose compensation paid to its affiliated broker-dealer for certain mutual fund transactions and related conflicts of interest.
An investment adviser settled SEC charges for disclosure and conflict of interest violations related to mutual fund share classes offered through a no-transaction fee program in wrap accounts.