The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
News & Insights
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC set an effective date of August 29, 2023 for final rules aimed at preventing fraud and manipulation involving security-based swaps transactions. The new rules include an amendment to prohibit undue influence on security-based swap dealers' chief compliance officers.
The SEC adopted final rules aimed at preventing fraud and manipulation involving security-based swaps transactions and an amendment to prohibit undue influence on security-based swap dealer chief compliance officers.
The SEC Division of Trading and Markets granted no-action relief to a security-based swap dealer, allowing the firm to incorporate "certain annual reports and reviews for the first fiscal year after the Firm’s registration . . . into the reports and reviews for the Firm’s second fiscal year."