September 22, 2023
The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
News & Insights
919 News Results
September 21, 2023
A swap dealer settled charges for failing to adhere to "pre-trade mid-market mark" compliance requirements.
September 01, 2023
Commentary by Nihal Patel
A number of trade groups and industry commenters reiterated their opposition to an SEC proposal to require reporting of large positions in security-based swaps.
August 29, 2023
A swap dealer settled charges with the CFTC for failing to retain audio files due to vendor system failures.
August 08, 2023
The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.