The SEC provided guidance on security-based swap dealer applications for statutorily disqualified associated persons to be permitted to effect, or be involved in effecting, security-based swaps on behalf of an SBS entity.
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In discussion paper, ISDA reviewed “issues market participants may need to consider from a commercial, operational, regulatory, and legal perspective when transacting in sustainability linked derivatives.”
SIFMA called on the SEC to slow down its rulemaking processes and prioritize rule proposals that address the most pressing needs in the market. SIFMA urged the SEC to finalize a rule proposal to change the cybersecurity risk management protocols for the Consolidated Audit Trail.
A broker-dealer settled parallel charges brought by NYSE Arca, Inc. and NYSE American LLC for origin code reporting failures and related supervisory and monitoring deficiencies.
A securities broker settled FINRA charges for failing to timely report the sale of private placements by its registered representatives.