NFA approved the adoption of a new interpretive notice that requires CFTC-registered firms that outsource regulatory obligations to implement a written supervisory framework governing the outsourcing arrangements.
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Senators Jeff Merkley (D-OR), Raphael Warnock (D-GA) and Sherrod Brown (D-OH) introduced a bill that would prohibit members of Congress from trading securities, commodities and futures.
The SEC established a new Climate and Environmental, Social and Governance Task Force within the Division of Enforcement.
U.S. House Financial Services Committee members reintroduced a bill that would block states from imposing financial transaction taxes on, among other securities industry participants, stock exchanges and broker-dealers.
The Congressional Research Service provided an overview of "selected banking-related issues that may attract congressional interest in the 117th Congress."