The CFTC set a comment deadline of October 24, 2023 for proposed amendments to rules governing confirmation of transactions on swap execution facilities.
News & Insights
216 News Results
The Senate Banking Committee considered opposing testimony concerning policies on junk fees and the resulting impact on consumers.
House Committee on Small Business Chairman Roger Williams (R-TX) questioned whether the SEC considered the effects on small investment advisory practices, capital access and innovation when the agency proposed new Exchange and Private Fund Adviser rules.
The CFTC proposed amendments to rules governing confirmation of transactions on swap execution facilities.
A broker-dealer settled charges with several state securities regulators for charging “unreasonable commissions” to customers on low principal equity transactions.