The CFTC extended the comment period until April 11, 2024, for its proposed rule ("NPRM") on real-time public reporting requirements and swap data recordkeeping and reporting requirements.
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In a no-action letter, the CFTC’s Market Participants Division said it will not recommend an enforcement action against a swap entity for its failure to disclose to certain counterparties the Pre-Trade Mid-Market Mark of certain swaps on the Secured Overnight Financing Rate under certain conditions.
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.
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 CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.