Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.

A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.

A firm settled FINRA charges for (i) allowing paid influencers to make posts on social media that involved unfair, exaggerated or false claims and (ii) failing to review such posts prior to their posting.

SEC Chair Gary Gensler warned investment advisers, broker-dealers and public companies that misstating their use of AI in investment strategies or company operations may violate securities laws.

Two crypto firms, one an issuer and the other its agent, settled with the SEC for engaging in the unregistered offer and sale of securities through a crypto asset lending program.