A company operating a digital asset exchange settled CFTC charges for (i) engaging in illegal off-exchange trading of retail commodity transactions with U.S. customers that were not eligible contract participants, and (ii) failing to register as a futures commission merchant.
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An equities trading firm settled NYSE National charges for failing to (i) provide notice of its withdrawal as a market maker for certain securities and (ii) identify NYSE National as an exchange from which it intended to deregister.
A futures commission merchant settled CFTC charges for supervisory failures concerning the handling of customer accounts "by not adequately preparing and configuring its electronic trading system" before a negative futures price event affecting sweet crude oil futures contracts.
The SEC proposed amendments to reporting requirements for (i) "management investment companies" (including exchange traded funds) as to their reporting of proxy votes, and (ii) "institutional investment managers" as to proxy voting relating to executive compensation.
In a white paper, FIA outlined principles to guide the regulation of derivatives market cross-border activity.