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
A number of trade groups and industry commenters reiterated their opposition to an SEC proposal to require reporting of large positions in security-based swaps.
The SEC reopened the comment period on a proposed rule to require reporting of large positions in security-based swaps. SEC staff provided additional analysis on proposed thresholds in the rule.
FINRA requested feedback on a concept proposal setting forth how the FINRA rules might apply to security-based swaps.
CME, CBOT, NYMEX and COMEX (the "Exchanges") issued a Market Regulation Advisory Notice that supersedes a previous notice and is being reissued to amend effective dates and compliance dates to reflect CFTC Letter 15-03, which was issued on February 10, 2015. This Advisory Notice continues to reflect changes to CME Rule 561 in connection with the CFTC Ownership and Control Reports ("OCR"). Rule 561, which pertains to large trader reporting, was amended to require that the submission of Forms 102A and 102B to the Exchanges be in the same form and manner as is required by the CFTC's OCR Rule