A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
News & Insights
1817 News Results
An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
The CFTC extended the comment period until April 11, 2024, for its proposed rule ("NPRM") on real-time public reporting requirements and swap data recordkeeping and reporting requirements.