A derivative exchange specializing in the trading of products based on virtual currencies settled CFTC and FinCEN charges for operating as an unregistered futures commission merchant and for Bank Secrecy Act violations.
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President Joseph R. Biden signed a new Executive Order to expand the scope of prohibitions "blocking property of certain persons undermining democratic processes or institutions in Belarus."
FINRA adopted rule changes to (i) shut down the OTC Bulletin Board Service and delete all related rules, and (ii) establish new requirements for alternative systems run by individual broker-dealers that disseminate identified broker-dealer quotations in OTC Equity Securities.
A trading platform settled SEC charges for facilitating the purchase and sale of digital asset securities without registering as a national securities exchange or operating pursuant to a registration exemption.
The SEC approved two Nasdaq Stock Market LLC rule proposals on board diversity: one requiring disclosure of diversity statistics and one offering free access to a board recruiting service.