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
63 News Results
A CFTC Order requiring the use of a designated unique product identifier and product classification system for swap recordkeeping and data reporting became effective on February 24, 2023.
The CFTC designated a unique product identifier and classification system required to be used in swap recordkeeping and reporting.
Comments on proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission are due by March 31, 2023.
The SEC proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission.