A futures commission merchant settled CFTC charges for supervisory failures concerning the handling of customer accounts "by not adequately preparing and configuring its electronic trading system" before a negative futures price event affecting sweet crude oil futures contracts.
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The SEC proposed amendments to reporting requirements for (i) "management investment companies" (including exchange traded funds) as to their reporting of proxy votes, and (ii) "institutional investment managers" as to proxy voting relating to executive compensation.
In a white paper, FIA outlined principles to guide the regulation of derivatives market cross-border activity.
The SEC requested comment on a Public Company Accounting Oversight Board proposed rule that would require disclosure as to whether an issuer's registered public accounting firm is located in a foreign jurisdiction that prevents the PCAOB from conducting audit inspections.
The National Credit Union Administration Board extended the comment period on the impact of digital assets and related technologies on federally insured credit unions, related entities, and the NCUA.