The SEC set an effective date of August 29, 2023 for final rules aimed at preventing fraud and manipulation involving security-based swaps transactions. The new rules include an amendment to prohibit undue influence on security-based swap dealers' chief compliance officers.
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The SEC adopted final rules aimed at preventing fraud and manipulation involving security-based swaps transactions and an amendment to prohibit undue influence on security-based swap dealer chief compliance officers.
The CFTC charged a resident of Puerto Rico and his firm with trading on material nonpublic information on gas futures received from an insider at an energy company.