The SEC updated its materials for security-based swap dealer registration, including a questionnaire for non-U.S. security-based swap dealers filing a substituted compliance application.
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The CFTC proposal to codify the agency's process for terminating exemptive relief granted to non-U.S. firms to offer non-U.S. futures and options directly to U.S. customers was published in the Federal Register.
The CFTC vacated the registration of CME Clearing Europe Ltd. (at their request) as a derivatives clearing organization.
The CFTC Division of Clearing and Risk granted an extension of no-action relief to the Shanghai Clearing House from registration as a derivatives clearing organization.
The CFTC Division of Clearing and Risk granted time-limited no-action relief to the Shanghai Clearing House from registration as a derivatives clearing organization.