The CFTC Division of Market Oversight extended time-limited no-action relief to swap execution facilities from the "occurs away" requirement under the CFTC definition of block trade.
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21984 News Results
The CFTC Division of Market Oversight extended previously issued relief to swap execution facilities from certain requirements related to post-execution allocation information.
SEC Chair Jay Clayton announced that he will be stepping down at the end of 2020.
Three investment advisory firms and two dually registered broker-dealer and advisory firms settled SEC charges for improper sales of volatility-linked exchange-traded products.
DOL amendments to the "investment duties" regulation were published in the Federal Register.