At the futures industry conference in Boca Raton, SEC Commissioner Paul Atkins outlined new initiatives for regulatory harmonization between the SEC and CFTC. Atkins declared an end to "duplicative enforcement actions," advocating for coordinated legal approaches and remedies. He proposed "substituted compliance," allowing one agency's framework to satisfy the other's overlapping requirements, aiming to reduce duplication for dual-registered companies.
The SEC will launch a harmonization webpage for firms to request joint discussions with both agencies. Additionally, joint meetings on product applications will be held to expedite approvals. Atkins also called for clarity on prediction markets and highlighted cross-margining to unlock liquidity across derivatives markets. An updated Memorandum of Understanding is in progress to coordinate exams and enforcement. Atkins emphasized that this coordination does not imply a merger of the agencies.
SEC and CFTC Announce Steps Toward Regulatory Harmonization
Disclaimer: The content provided on Phemex News is for informational purposes only. We do not guarantee the quality, accuracy, or completeness of the information sourced from third-party articles. The content on this page does not constitute financial or investment advice. We strongly encourage you to conduct you own research and consult with a qualified financial advisor before making any investment decisions.
