Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
News & Insights
The NFA submitted to the CFTC proposed changes to bylaws related to the qualifications for public directors on the NFA's Board.
An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
The SEC named Natasha Vij Greiner incoming Director of the Division of Investment Management. Current Director William Birdthistle will step down on March 8, 2024.
In comments responding to the CFTC's proposed amendments on capital and financial reporting requirements for swap dealers and major swap participants, the IIB, ISDA and SIFMA supported the codification of certain CFTC staff interpretive letters.