The SEC issued an Order updating several exemptions and granting additional exemptions for certain security-based swap activities.
News & Insights
The National Futures Association proposed amendments to certain compliance rules on forex transactions and orders.
The CFTC Division of Market Oversight extended previously issued relief to swap execution facilities from the requirement to capture post-execution information in their audit trail data.
The Board of the International Organization of Securities Commissions (IOSCO) issued a statement on research conducted by the IOSCO Task Force on OTC Derivatives Regulation concerning credit default swap auction processes and the functioning of the ISDA Credit Determinations Committees.
The Federal Register published Securities Exchange Act Rule 15Fi-1. The final rule requires security-based swap dealers and majority security-based swap participants to provide counterparties with a trade acknowledgment detailing information specific to a transaction.