SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of the month.
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FinCEN Deputy Director Jamal El-Hindi described agency efforts to encourage innovation in anti-money laundering.
Representative Angie Craig (D-MN) introduced a bill that would amend the CEA to exempt certain persons acting for or providing advice to charitable organizations from regulation as CPOs and CTAs.
The House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets examined several proposed bills concerning the current exempt offering framework in private securities markets.
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.