A CFTC Order requiring the use of a designated unique product identifier and product classification system for swap recordkeeping and data reporting became effective on February 24, 2023.
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The CFTC designated a unique product identifier and classification system required to be used in swap recordkeeping and reporting.
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.
A CFTC-registered swap dealer settled NFA charges for rule violations concerning posting variation margin on swaps and supervision over external business conduct.
FINRA revised and redesignated its Interpretations of the SEA Financial and Operating Rules to align with recent SEC amendments.