SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
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OCC Acting Comptroller Michael J. Hsu asserted that the framework used to analyze bank merger applications should be revised and directed his staff to work with the DOJ and other federal banking agencies to update it.
FINRA proposed to require TRACE reporting of transactions in U.S. dollar-denominated foreign sovereign debt securities.
A broker-dealer settled FINRA charges for failing to conduct adequate due diligence on issuers of privately sold securities.
Comments on an SEC-proposed new regulatory framework for the registration and regulation of security-based swap execution facilities are due by June 10, 2022.