In a no-action letter, the CFTC’s Market Participants Division said it will not recommend an enforcement action against a swap entity for its failure to disclose to certain counterparties the Pre-Trade Mid-Market Mark of certain swaps on the Secured Overnight Financing Rate under certain conditions.
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NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
The CFTC said that it will not pursue enforcement actions in connection with certain swap rules related to transfers of swaps to recent FDIC-established "bridge" banks.
The CFTC charged a cryptocurrency trading firm and its CEO with engaging in a "Ponzi-like" scheme.