April 14, 2022

On March 28, 2022 the SEC published proposed rules that could require certain firms to register as dealers with the SEC, as well as register as an SRO, if they are deemed to be engaged in buying/selling securities as part of a “regular business.” The SEC’s stated impetus behind the proposed rule is to ensure […]

On March 16, 2022 CFTC Chairman Rostin Behnam delivered the keynote address at the annual Futures Industry Association Conference in Boca Raton, Florida. Chairman Behnam opened his remarks noting the transformative changes our industry successfully navigated and how financial and technological innovations are yet again at our doorstep. He reminisced on how technology and decimalization