A registered futures commission merchant agreed to settle CFTC and National Futures Association charges relating to an unlawful post-execution allocation scheme.
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The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to a commodity pool operator from certain registration and reporting requirements.
The U.S. Treasury Department Office of Foreign Assets Control released two new FAQs concerning transactions with Ukraine-/Russia-related entities on the Specially Designated Nationals and Blocked Persons list.
The SEC announced SRO rule changes and proposals for the week of May 21 to May 25, 2018.
A FINRA rule change that would expand the definition of "Agency Debt Securities," as used in the Trade Reporting and Compliance Engine rules was published in the Federal Register.