The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
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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.
NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.