A financial communications company settled CFTC charges for operating an unregistered swap execution facility.
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The SEC approved the registration of Depository Trust and Clearing Corporation Data Repository (U.S.), LLC as the first registered security-based swap data repository.
A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
The CFTC granted swap execution facility registration status to a New York-based bitcoin exchange.
The CFTC issued an order granting full registration status to a London-based swap execution facility. A total of twenty-four SEFs are now registered fully with the CFTC.