SEC Chief Accountant Sagar Teotia will depart from the agency by the end of February 2021.
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The CFTC staff determined that NFA's swap dealer capital model requirements and review process "are comparable" to the CFTC's own requirements and processes.
The SEC proposed exemptive relief from certain diligence requirements "to permit broker-dealers to publish or submit proprietary quotations for securities, on a continuous basis, in a market where the distribution of such quotations is restricted to sophisticated or professional investors."
SEC Acting Enforcement Director Marc P. Berger will depart the agency by the end of January 2021.
CFTC General Counsel and Legal Division Head Daniel Davis will leave the agency on January 15, 2021.