In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
52 News Results
The SEC Division of Trading and Markets granted no-action relief to a security-based swap dealer, allowing the firm to incorporate "certain annual reports and reviews for the first fiscal year after the Firm’s registration . . . into the reports and reviews for the Firm’s second fiscal year."
The CFTC Market Participants Division granted relief to extend the timeframe for a limited-purpose swap dealer to file certain financial reports.
The CFTC Market Participants Division issued a new letter expanding the scope of relief from certain rules for "intended-to-be-cleared" swaps.
The CFTC approved technical corrections to its swap dealer and major swap participant regulations.