# SEC and CFTC sign a formal regulatory-harmonization memorandum

> The SEC and CFTC formalized coordination and information-sharing processes for overlapping regulatory interests, including crypto assets, dual registrants, trading venues, derivatives, funds, data, examinations, and enforcement.

- URL: https://riadefi.com/regulation/2026-03-11-sec-cftc-harmonization-mou/
- Posture: Official signal · nonbinding
- Authorities: U.S. Securities and Exchange Commission; Commodity Futures Trading Commission
- Event date: 2026-03-11
- Effective: 2026-03-11
- Version: 1, published 2026-08-07 (first published 2026-08-07)
- Advisor-relevant: no

This entry records an official signal, such as a speech or a statement. It does not change the law.

## What changed

The SEC and CFTC formalized coordination and information-sharing processes for overlapping regulatory interests, including crypto assets, dual registrants, trading venues, derivatives, funds, data, examinations, and enforcement. The MOU governs agency cooperation and does not itself change a registrant’s substantive obligations.

## Who it affects

- SEC and CFTC registrants and dually regulated firms
- Advisers, funds, broker-dealers, FCMs, exchanges, clearinghouses, and market infrastructure providers

## What is still open

- Which joint rules, relief, examinations, or data programs will follow
- How the agencies will resolve asset- and product-specific jurisdiction

## What it means for an advisor

- Expect more coordinated requests and harmonized initiatives
- Continue complying with each applicable regime until an operative joint or agency action changes it

## Previous interpretation

Agency cooperation existed through statements and events without this new comprehensive formal MOU.

## Sources

1. [Memorandum of Understanding Regarding Harmonization in Areas of Common Regulatory Interest](https://www.cftc.gov/media/13471/SEC_CFTC_MOU031126/download) · U.S. Securities and Exchange Commission and Commodity Futures Trading Commission · 2026-03-11 · effective 2026-03-11


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Published by Ketju Research on RIADeFi (https://riadefi.com). Educational research for financial professionals; not investment, legal, tax, or compliance advice.