Comments on proposed rule changes to reporting requirements for security-based swap transactions are due by March 21, 2022.
News & Insights
The SEC proposed three new rules relating to security-based swaps: (1) an anti-fraud rule, (2) a rule to require reporting of large positions in security-based swaps, and (3) a rule prohibiting personnel of an SBS entity from taking any action to improperly interfere with the SBS entity's CCO in the performance of such persons duties.
In a newly issued FAQ, the SEC Division of Trading and Markets addressed implementation questions on "regulatory reporting and public dissemination of security-based swap transactions under Regulation SBSR."
A swap dealer settled CFTC charges for disclosure, trade reporting and related supervisory violations.
A swap dealer settled CFTC charges relating to compliance with CFTC requirements on portfolio reconciliation, mid-market marks and trade reporting.