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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Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
The CFTC set an effective date of September 7, 2023 for a final rule amending reporting requirements for derivatives clearing organizations.
The CFTC unanimously approved a final rule that amends "certain reporting and information regulations applicable to derivatives clearing organizations."
The CFTC set a comment deadline of September 18, 2023 for potential amendments to the risk management program and reporting requirements for swap dealers and futures commission merchants.