A broker-dealer settled FINRA charges for failing to take reasonable steps to tailor its AML program to identify suspicious activities on low-priced securities.
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FINRA reminded firms of the deadlines to submit broker dealer reports and Financial and Operational Combined Uniform Single ("FOCUS") information due in 2023 or the first quarter of 2024.
LedgerX LLC, d/b/a FTX US Derivatives (FTX), submitted to the CFTC's Division of Clearing and Risk a formal withdrawal of FTX's request to amend FTX's Amended Order of Registration as a derivatives clearing organization. The request would have allowed FTX to offer products that are not fully collateralized.
In a Consultation Report, IOSCO examined existing carbon compliance markets that allow corporations to buy and sell carbon emissions allowances.
The CFPB amended its procedures to clarify the situations in which the CFTC is likely to release publicly an enforcement decision or order, and to establish a process for respondents to object to such publication.