A company that sold digital tokens using smart contracts and "decentralized finance" technology and its two executives settled SEC charges for the unregistered sale of over $30 million of securities.
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An inter-dealer broker settled FINRA charges for non-compliance with SEC Systems Compliance and Integrity regulations after the broker failed to determine that its alternative trading system was subject to the regulation.
An investment banking and broker-dealer firm settled NYSE Arca and NYSE American charges for failing to submit, or submit in a timely manner, notifications in connection with its engagement in the distribution of securities.
The Federal Reserve Board released individual capital requirements for large banks.
In response to a request from ISDA and SIFMA, the SEC Division of Trading and Markets will not recommend enforcement action if a security-based swap dealer does not collect initial margin from certain counterparties in connection with an uncleared security-based swap entered into prior to September 1, 2022.