ISDA CEO Scott O'Malia provided a preliminary reaction to the political, economic and financial uncertainty created by "Brexit."
News & Insights
The CFTC Division of Swap Dealer and Intermediary Oversight reminded futures commission merchants and introducing brokers of their compliance requirements regarding suspicious activity reporting and economic sanctions programs.
The SEC solicited comment on a FINRA proposal to create a new Academic Corporate Bond TRACE Data product that would be available to institutions of higher education. The FINRA proposal was published in the Federal Register.
The SEC solicited comment on FINRA's proposed Partial Amendment No. 2 to its proposal to adopt a separate rule set for firms that meet the definition of "capital acquisition broker" and elect to be governed under it. The FINRA proposal, as amended, was published in the Federal Register.
The CFTC settled charges against a London-based bank for failing to submit accurate large trader reports for physical commodity swap positions.