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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The SEC permitted an associated person, who had been subject to statutory disqualification, to effect security-based swaps after he had (i) paid a penalty, (ii) completed a number of remedial requirements and (iii) maintained a clean record.
NFA provided guidance on use of alternative reference rates in initial margin calculation models for uncleared swaps.
The SEC provided guidance on security-based swap dealer applications for statutorily disqualified associated persons to be permitted to effect, or be involved in effecting, security-based swaps on behalf of an SBS entity.
A CFTC-registered swap dealer settled NFA charges for rule violations concerning posting variation margin on swaps and supervision over external business conduct.