The SEC granted a Belgian company relief from certain SEA requirements as to the conduct of tender offers in the Belgian company's planned acquisition of shares of another Belgian-incorporated company.
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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.
The NFA issued three notices covering regulatory obligations, recent amendments and rule interpretations for (i) FCM, FDM and IB Members, (ii) CPO and CTA Members and (iii) Swap Dealer Members.
A broker-dealer settled charges brought by NYSE American for over-tendering 16,300 shares in a partial tender offer and for failing to maintain an adequate supervisory system.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.