The CFTC Market Participants Division issued a new letter expanding the scope of relief from certain rules for "intended-to-be-cleared" swaps.
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Comments on proposed rule changes to reporting requirements for security-based swap transactions are due by March 21, 2022.
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.
The SEC proposed three new rules relating to security-based swaps: (1) an anti-fraud rule, (2) a rule to require reporting of large positions in security-based swaps, and (3) a rule prohibiting personnel of an SBS entity from taking any action to improperly interfere with the SBS entity's CCO in the performance of such persons duties.