The CFTC Global Markets Advisory Committee advanced recommendations on: (i) the use of U.S. Treasuries as margin collateral, (ii) the securities market's move to T+1 securities settlement and (iii) a digital asset taxonomy.
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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.
A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.