News & Insights

31 Results
November 05, 2021
Commentary by Nihal Patel

The SEC adopted changes to the exemptions for certain clearing agencies and broker-dealer/futures commission merchants concerning the portfolio margining of swaps and security-based swaps that are cleared credit default swaps.

August 17, 2020

FINRA proposed amendments to the Security Futures Risk Disclosure Statement to reflect recent changes on position limits for security futures contracts, market-wide circuit breaker benchmarks and thresholds, and that exchanges may now list security futures on certain debt instruments.

August 10, 2020
Commentary by Christian Larson

In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.