Regulatory Alerts2026-05-21
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
The Securities and Exchange Commission and National Futures Association have entered into a Memorandum of Understanding to enhance their regulatory cooperation, coordination, and information sharing. The agreement establishes periodic staff meetings and expands information exchange on emerging risks, examination planning, and financial market conditions to promote compliance with derivatives and securities laws. By streamlining oversight and minimizing duplicative efforts, the framework aims to provide businesses with a predictable compliance path while maintaining high-quality investor protections and market integrity.
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