SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
Affects: Registered Investment Advisers (RIAs) and broker-dealers operating in overlapping securities and futures markets, as the SEC-NFA MOU directly impacts firms subject to dual regulatory oversight and cross-market compliance requirements.
Source Agency
SEC
Published
Saturday, June 27, 2026
Detected by RegAxis
Jun 27, 2026
RegAxis Alerts
Want alerts the moment new changes drop?
RegAxis monitors SEC, FINRA, and NAIC in real time and delivers a plain-language briefing the moment something moves. Never miss a rule change that could cost you a compliance review.
Get RegAxis →