The CFTC sanctioned a digital asset commodity trading platform for failing to register with the CFTC as either a DCM or an FCM and offering trading in CFTC-regulated products to retail investors.
The CFTC Division of Clearing and Risk granted Taiwan Futures Exchange's request for no-action relief from the requirement to register as a derivatives clearing organization.
The CFTC's Division of Clearing and Risk extended no-action relief from DCO registration to a Chinese clearing house, for purposes of clearing swaps of proprietary accounts of their clearing members and affiliates.
Industry and trade groups weighed in on an SEC proposal to establish a regulatory scheme for security-based swap execution facilities. The comment period closed on June 10, 2022.
The SEC set November 8, 2021 as the "data collection initiation date" marking the end of the "phase-in" period for the de minimis threshold for registration as a security-based swap dealer.