The Inter-Agency Working Group for Treasury Market Surveillance reported progress on efforts to ensure that the Treasury market "remains the deepest and most liquid market in the world and a central component of the financial system."
News & Insights
21975 News Results
The SEC set an effective date of February 5, 2024 for final rules on the filing of certain beneficial ownership reports and guidance. The SEC also outlined compliance date requirements. The SEC final rules and guidance were published in the Federal Register.
FIA and ISDA supported CFTC-proposed amendments to rule-filing requirements that would change the process by which infrastructure providers submit rule filings - including self-certifications and requests for approvals - as well as the manner in which the CFTC reviews and processes these filings.
A broker-dealer settled charges with FINRA for failing to safeguard customer records and information.
A broker-dealer settled charges with FINRA for failing to maintain an anti-money laundering program that could be reasonably expected to detect and report suspicious transactions.