In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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260 News Results
The CFTC Division of Market Oversight granted no-action relief as to swap trade execution requirements related to ICE Clear Europe Ltd. discontinuing CDS clearing services in October 2023.
NFA provided guidance on use of alternative reference rates in initial margin calculation models for uncleared swaps.
A CFTC-registered swap dealer settled NFA charges for rule violations concerning posting variation margin on swaps and supervision over external business conduct.
FINRA set the compliance dates for rule amendments relating to security-based swaps.