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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.

Commentary by Nihal Patel

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.