News & Insights

14 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 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.