In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
62 News Results
A CFTC Order requiring the use of a designated unique product identifier and product classification system for swap recordkeeping and data reporting became effective on February 24, 2023.
The CFTC designated a unique product identifier and classification system required to be used in swap recordkeeping and reporting.
The SEC established a "Security-Based Swaps Joint Venture" among several divisions and offices to coordinate operations relating to security-based swap regulation and the oversight of security-based swap entities.
In a policy paper, FIA emphasized the role of derivatives markets in addressing climate change.