A cruise line operating company and its subsidiaries licensed to sell insurance settled New York Department of Financial Services charges for violating state cybersecurity regulations and compromising customer and employee information.
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SIFMA and the American Bankers Association updated their analysis of an SEC Staff Accounting Bulletin, which sets out the required accounting treatment for the holding of crypto-assets by a custodian.
The SEC adopted rule and form amendments to require certain financial documents to be filed electronically through the EDGAR and Investment Adviser Registration Depository systems.
A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
CFTC Commissioner Summer K. Mersinger weighed in on offering retail access to clearing outside of traditional futures commission merchant models and raised concerns over "mission creep... in the name of addressing climate change."