The SEC permitted an associated person, who had been subject to statutory disqualification, to effect security-based swaps after he had (i) paid a penalty, (ii) completed a number of remedial requirements and (iii) maintained a clean record.
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The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
A number of trade groups and industry commenters reiterated their opposition to an SEC proposal to require reporting of large positions in security-based swaps.
The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.