In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.
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The DOJ Antitrust Division, FTC and European Commission launched an EU-U.S. Joint Technology Competition Policy Dialogue. The dialogue is intended to reaffirm mutual collaboration on antitrust policy and enforcement in the technology sector.
At the 26th UN Climate Change Conference of the Parties , Treasury Secretary Janet L. Yellen applauded private sector support for financing the transition to a net-zero economy.
SEC Commissioner Elad L. Roisman described potential SEC rulemakings on cybersecurity, and offered additional measures to prevent cyberattacks that issuers might consider, even in the absence of regulatory action.
A broker-dealer settled Nasdaq Stock Market LLC charges that its "market access" controls were deficient.