The SEC Division of Corporation Finance issued guidance on Division activities in the event of a government shutdown.
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CFTC Commissioner Summer K. Mersinger asserted that the Basel III Endgame Proposal, if adopted, would have a significant negative impact on derivatives markets.
A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
In an address before the Council of Institutional Investors, SEC Commissioner Mark T. Uyeda underscored the importance of adhering to statutory limits in the exercise of administrative power and enforcement, and called for a regulatory framework that provides clear, predictable guidelines for market participants.
The SEC named Natasha Vij Greiner incoming Director of the Division of Investment Management. Current Director William Birdthistle will step down on March 8, 2024.