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Matthias Knab, Opalesque for New Managers: The U.S. Securities and Exchange Commission (SEC) and the National Futures Association (NFA) announced on May 21, 2026, that they have entered into a Memorandum of Understanding (MOU) to enhance cooperation, coordination, and information sharing in areas of common regulatory interest.
According to the announcement, the MOU will allow staff at both bodies to exchange information on emerging risks, examination planning, and financial markets' conditions, and will establish periodic meetings between staff. The stated goals are to promote compliance with derivatives and securities laws, maintain oversight quality, and minimize duplicative efforts.
SEC Chairman Paul S. Atkins framed the MOU as part of a broader effort to streamline cooperation across regulatory bodies: "Regulatory bodies working together should not be a novel concept. It should be the norm. Coordination between regulatory organizations provides businesses a predictable, straightforward path to compliance and comprehensive protections for investors that build trust in our markets."
NFA President and CEO Thomas W. Sexton added: "We look forward to continuing our coordination efforts with the SEC under this formal framework. We believe this memorandum represents an important milestone for NFA and will allow us to further foster our mission of protecting customers ...................... To view our full article Click here
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