In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
10 News Results
FINRA requested feedback on a concept proposal setting forth how the FINRA rules might apply to security-based swaps.
A swap dealer settled a CFTC enforcement action relating to swap data reporting violations.
The House Financial Services Committee considered (i) testimony from federal banking regulators on a broad range of concerns and (ii) several proposed bills imposing additional requirements on financial institutions.
A swap dealer settled CFTC charges for failing to provide certain audio recordings during an investigation.