A firm settled FINRA charges for conducting a securities business while failing to maintain required minimum net capital.
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A broker-dealer settled FINRA charges for failing to timely report transactions to the Trade Reporting and Compliance Engine.
The SEC extended its consideration of a proposed rule change to list shares of the NYDIG Bitcoin Exchange-Traded Fund on the NYSE Arca Exchange.
The Committee on Foreign Investment in the United States extended by one year the effective date for one of the criteria under the definitions of "Excepted Foreign State" and "Excepted Real Estate Foreign State."
The CFTC Market Participants Division staff provided financial reporting relief to nonbank swap dealers in Australia and Singapore.