The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.
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The CFTC proposed amendments to rule filing requirements for various types of registered entities, including DCMs, DCOs, SEFs and SDRs.
The CFTC set a comment deadline of September 18, 2023 for potential amendments to the risk management program and reporting requirements for swap dealers and futures commission merchants.
The CFTC Divisions of Market Oversight, Clearing and Risk and Market Participants requested comment on potential issues related to affiliations between clearing and trading platforms (i.e., DCOs, DCMs and SEFs) and market intermediaries (e.g., FCMs).
The CFTC set a comment deadline of August 28, 2023 on proposed amendments to large trader position reporting requirements for futures and options.