The CFTC solicited public comments on a proposed comparability determination and related Order for certain CFTC-registered swap dealers domiciled in the United Kingdom and subject to prudential supervision by the UK Prudential Regulation Authority.
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The CFPB proposed a new rule prohibiting financial institutions from imposing nonsufficient funds fees on transactions that are instantly or nearly instantly declined.
The SEC adopted rules to impose a comprehensive regulatory scheme on special purpose acquisition companies ("SPACs") and their subsequent de-SPAC transactions with the stated purpose of aligning the regulation of SPACs more closely with more traditional initial public offerings.
SEC Commissioner Mark Uyeda urged the Commission against taking "a paternalistic approach to regulating the private markets" that would reduce opportunities for investors and entrepreneurs.
In a new report and news release updating targeted sweep examination findings begun in November 2022 concerning retail communications by member firms on crypto assets or crypto asset-related services, FINRA identified potential violations in 70 percent of the communications it reviewed.