In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
Comments on SEC's proposed amendments to "modernize" filing procedures through the use of electronic filings are due by May 22, 2023.
The SEC proposed rule amendments that "modernize" filing procedures through the use of electronic filings. The amendments impact numerous rules and forms.
The CFTC Division of Market Oversight extended previously issued no-action relief to non-U.S. swap dealers from certain swap data reporting requirements.