At a meeting of the CFTC Technology Advisory Committee, industry representatives considered presentations on automated and modern trading markets, distributed ledger technology and market infrastructure, virtual currencies, and cybersecurity.
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The FDIC requested information on whether a public/private standard-setting partnership and voluntary-certification program would benefit FDIC-supervised financial institutions seeking to employ new technologies.
The OCC proposed a rule to clarify when a national bank or federal savings association has made a loan and is considered to be the "true lender" in the "context of a partnership between a bank and a third party, such as a marketplace lender."
At an Asset Management Advisory Committee meeting, SEC officials considered the issues of (i) diversity and inclusion and (ii) technology and data in the asset management industry.
A market maker and provider of execution services settled FINRA charges for automated control failures on its OTC equity trading desk.