The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
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.
A French swap dealer and its former employee settled CFTC charges for mismarking swap positions to inflate profits and minimize losses or to "smooth out returns."
The SEC Division of Trading and Markets provided instructions to security-based swap entities on documentation submissions under (i) SEC capital margin and segregation rules and (ii) SBS valuation dispute notices related to portfolio reconciliation.