In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
The CFTC Division of Market Oversight extended previously issued no-action relief to non-U.S. swap dealers from certain swap data reporting requirements.
NFA notified its members that swap dealers must electronically file required notices related to swap dealer initial margin models.
SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.