The SEC adopted a new rule and form amendments designed to modernize the regulation of exchange-traded funds by effectively codifying existing Investment Company Act exemptive relief.
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CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the "Five Building Blocks" that make up the Division's approach to a "complete regulatory program."
The U.S. House of Representatives passed the Secure and Fair Enforcement Banking Act of 2019.
The Chicago Mercantile Exchange ("CME") Business Conduct Committee ("BCC") charged a broker-dealer with exceeding the spot month position limit in August 2018 Soybean Meal futures contracts.
A publicly traded data services company and its former CEO settled SEC charges for financial accounting and disclosure fraud.