In a joint interpretive letter, the CFTC's Market Participants Division and Division of Market Oversight concluded that a proprietary trading firm qualifies as a non-U.S. person for the purposes of trading non-U.S. futures on a non-U.S. exchange.

SEC Chair Paul S. Atkins briefed legislators on his approach to rulemaking, digital assets and technology.

The staff of the SEC Division of Corporation Finance issued a no-action letter stating it will not recommend enforcement action for conflicts of interest for certain transactions entered into by "Non-Deal Team Employees" of securitization participants.

A firm settled FINRA charges for failing to reasonably safeguard customer information.

As she prepares to return to the private sector, CFTC Acting Chair Caroline D. Pham highlighted enforcement results, regulatory reforms and cost savings achieved within the first 100 days of the new administration.