A firm settled FINRA charges after failing to maintain required net capital levels and engaging in unapproved underwriting activities.

SIFMA President and CEO Kenneth E. Bentsen, Jr. highlighted the benefits and policy challenges of integrating private market investments into retirement portfolios.

The Managed Funds Association ("MFA") urged the SEC and the CFTC ("Agencies") to extend the compliance deadline for the amended private fund reporting form ("Form PF"), citing unresolved interpretive issues, technical deficiencies, and the risk of inconsistent data.

The Managed Funds Association urged the Senate Banking Committee to adopt several recommendations on proposed digital asset market structure legislation.

The CFTC’s Division of Clearing and Risk withdrew 2016 staff guidance on recovery plans and wind-down plans maintained by derivatives clearing organizations.