Alexander Barzacanos
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SEC, CFTC sign cooperation memo
The agreement replaces the agencies’ 2018 memorandum and sets out updated procedures for how they can work better together, and apart, from one another.
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Atkins discusses CFTC-SEC harmonization and regulatory simplification
Atkins called for non-duplicative SEC-CFTC oversight and more straightforward approval of new products.
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FinCEN tells firms to revisit jurisdictional risk, FATF adds countries to monitoring list
While urging vigilance, FinCEN cautioned that firms should avoid “wholesale or indiscriminate de-risking.”
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Bank regulators say no special capital treatment for tokenized securities
The FAQs pave the way for banks to start using tokenized securities as collateral.
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FINRA opens broad review of arbitration process
The move signals an impending reboot of an often-criticized system.
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CFTC’s Selig signals green light for crypto perpetuals
The derivative contracts, which trade widely offshore, will likely soon come to US markets with faster listings via self-certification.
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SEC adopts rules requiring ‘insider’ filings for foreign company executives
Many directors and officers of US-traded foreign private issuers must soon publicly disclose their shareholdings and trades in SEC filings.
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CFTC: Yes, we can police prediction market insider trading
The CFTC asserts itself in previously murky regulatory waters.