The SEC adopted a final rule establishing recordkeeping, reporting and notification requirements for broker dealers and security-based swap dealers.
News & Insights
21975 News Results
CFTC Commissioner Dawn Stump encouraged regulatory coordination on CCP oversight, swap data reporting and the CFTC's cross-border guidance.
FINRA Executive Vice President and Head of Enforcement Susan Schroeder will leave the agency later this year.
The SEC, CFTC and UK Financial Conduct Authority urged market participants to address the risks posed by "opportunistic strategies" in the credit derivatives markets.
The SEC charged a digital asset incubator company and its founder with conducting an illegal securities offering and acting as an unregistered broker-dealer.