Securities
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Use of crypto as derivatives collateral outlined in CFTC factsheet
Guidance keeps limits on uncleared swaps, applies haircuts, and requires FCMs to meet reporting and operational requirements under a no-action pathway.
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SEC and CFTC act ahead of Congress with joint crypto guidance
The guidance says most digital assets are not securities but stops short of creating a full market framework.
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SEC proposal offers clarity regarding Exchange Act Rule 15c2-11
The amendment would swap out the term “security” currently included in the rule and replace it with “equity security.”
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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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Macquarie Securities fined $24m for inaccurate reporting of short sales
Australian court found weaknesses in the firm’s systems, and procedures and controls remained undetected for more than a decade despite internal reviews.
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Hong Kong authorities make arrests in major insider trading probe
Authorities have not named any individuals or companies yet, but a Chinese securities group has confirmed its headquarters were searched and an individual was arrested.
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ASIC roundup: Record civil penalties, license cancellations, plus more
The Australian Securities and Investments Commission’s latest actions and news, February 25-March 9, 2026.
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NYSE to pay $9m SEC civil money penalty over opening auctions failure
Critical systems failure involved thousands of securities being transitioned into continuous trading without opening auctions having been conducted.