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.

The SEC expressed regret that its internal systems "lacked sufficient safeguards surrounding access to Adjudication memoranda" and said that it is committed to preventing similar lapses in the future.

The CFTC requested comment on potential amendments to the risk management program and reporting requirements for swap dealers and futures commission merchants.

The CFTC Division of Clearing and Risk encouraged persons using certain swap execution facilities-related "prime brokerage arrangements" for swaps to consider whether the arrangements require derivatives clearing organization registration.

A broker-dealer firm settled CFTC charges for engaging in market manipulation of issuer swaps.