The Managed Funds Association criticized the economic analysis included in an SEC proposal to require reporting of large positions in security-based swaps.
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In an amicus curiae brief, the SEC supported the right of a beneficial owner to bring a claim involving short-swing profit trading.
President Joseph R. Biden issued an Executive Order restricting certain U.S. investments in "covered national security technologies and products" in the People’s Republic of China, Hong Kong and Macau.
An introducing broker-dealer settled FINRA charges for misclassifying its owner's personal expenses as business expenses and failing to register and supervise an unregistered individual serving as a principal of the firm.
CFTC staff extended temporary no-action relief for bank swap dealers from certain financial reporting requirements.