CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the CFTC’s role in overseeing CPOs and CTAs in light of the growing size and agility of the firms in the asset management industry.

NFA reminded firms that are engaged in swaps activities to pay the new annual dues surcharge by January 1, 2020.

SEC Chair Jay Clayton urged federal, state and local public finance officials to continue their efforts to improve municipal issuer financial reporting and disclosures.

SEC Chair Jay Clayton described agency efforts to modernize the regulatory framework, emphasizing the importance of operating within the limits of its regulatory authority.

The organizers of an allegedly unregistered offering of digital asset securities settled SEC charges of defrauding investors out of millions of dollars.