A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
News & Insights
1136 News Results
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
The CFTC extended the comment period until April 11, 2024, for its proposed rule ("NPRM") on real-time public reporting requirements and swap data recordkeeping and reporting requirements.
FINRA adopted a new rule to require that broker-dealers file their order routing reports with FINRA to facilitate public dissemination of the information.