The Supreme Court of the State of New York issued a "Default Judgment for Permanent Injunction" against a digital asset trading company for trading cryptocurrencies without registering as a broker-dealer, and for failing to disclose to investors certain fees associated with the cryptocurrency trading.
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Three media companies settled SEC charges for conducting unregistered stock and digital asset securities offerings.
In testimony before the U.S. Senate Banking Committee, SEC Chair Gary Gensler weighed in on market structure, predictive data analytics, issuers and issuer disclosure, and funds and investment management.
The Cabinet Regulatory Tracker is a list of comment deadlines, expiration dates and effective dates.
SIFMA and SIFMA Asset Management Group urged an 18-month period to implement margin requirements for "covered agency transactions" under FINRA rules.