The SEC set a comment deadline on amendments to NFA compliance rules and interpretations related to AML suspicious activity report confidentiality.
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A swap dealer settled CFTC charges for failing to appropriately disclose certain "pre-hedging" activities in FX transactions in violation of CFTC external business conduct requirements.
The CFTC revised post-initial appropriate minimum block sizes and post-initial cap sizes for publicly reportable swap transactions. The revised thresholds will go into effect on December 4, 2023.
Comments on SEC's proposed amendments to "modernize" filing procedures through the use of electronic filings are due by May 22, 2023.
A swap dealer settled CFTC charges relating to a failure to disclose the pre-trade-mid-market-mark ("PTMMM") of equity index swaps.