The SEC charged a quantitative analyst with a years-long scheme to front-run securities trades entered by two investment advisers that employed him.

In an Advance Notice of Proposed Rulemaking, FinCEN requested comment on regulations to implement amendments to the Bank Secrecy Act on antiquities trading contained in the Anti-Money Laundering Act of 2020.

NFA amendments to swap dealer compliance rules on trade execution requirements will go into effect on September 30, 2021.

The Managed Funds Association urged the European Commission to amend the Securitisation Regulation ("SECR") so that non-EU alternative investment funds managers do not have to comply with the due diligence obligations under SECR where they market alternative investment funds to EU investors.

The SEC Division of Corporation Finance granted conditional no-action relief to three exchange-traded funds from requirements prohibiting purchases outside of a tender offer.