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.
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The CFTC and French financial regulators have signed a Memorandum of Understanding aimed at facilitating cooperation and the exchange of information related to supervising covered institutions that operate on a cross-border basis in the United States and France.
The SEC staff granted no-action relief to an Australian security-based swap dealer from certain financial reporting requirements.
The SEC staff provided no-action relief to security-based swap dealers from certain financial reporting requirements.
The SEC took a number of actions to address substituted compliance determinations for security-based swap dealers, including (i) amending orders previously granted covering Germany, France and the United Kingdom, and (ii) adopting an additional determination for Spain.