SEC and CFTC Staff Issue Joint Statement on Trading of Certain Spot ...
This Joint Statement clarifies staff’s views that SEC- and CFTC- registered exchanges are not prohibited from facilitating the trading of certain spot commodity products. The joint effort exemplifies how staff …
SEC.gov | SEC and CFTC Issue Joint Statement on Regulatory ...
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harmonization opportunities and announced a joint …
SEC-CFTC Joint Roundtable on Regulatory Harmonization Efforts
Sep 29, 2025 · The SEC and the CFTC will hold a joint roundtable to discuss regulatory harmonization priorities between their agencies.
SEC-CFTC Joint Staff Statement (Project Crypto-Crypto Sprint)
Sep 2, 2025 · The SEC’s Division of Trading and Markets and the CFTC’s Division of Market Oversight and Division of Clearing and Risk (collectively, the “Divisions”) [1] are announcing a cross-agency …
SEC.gov | SEC Charges 11 Wall Street Firms with Widespread ...
Aug 8, 2023 · The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for …
SEC Adopts Amendments to Enhance Private Fund Reporting
Feb 8, 2024 · The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including …
SEC and CFTC Extend Form PF Compliance Date to Oct. 1, 2026
The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the …
SEC.gov | Twenty-Six Firms to Pay More Than $390 Million Combined …
Aug 14, 2024 · Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures
Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities ...
Oct 11, 2019 · In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps …
Permitting swap dealers to be exempted from posting initial margin with respect to CFTC-regulated uncleared swaps to the extent they are held in an SEC-regulated portfolio margining account would …