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Commission action creates a new regulatory framework featuring the required registration and regultion of security-based swap execution facilities
SEC Chairman Gensler
"Based upon the current market for security-based swaps, we expect that the entities that will register as security-based SEFs also are registered as SEFs with ...
Four businesspeople sitting on bench and looking up at clock. Horizontally framed shot.
These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
Like the SEC, the CFTC has now imposed over $1 billion in penalties for charges tied to offline communications violations
The CFTC proposes to to eliminate a provision disqualifying the securities issued by certain pooled investment funds that transfer their assets through securities lending, securities ...
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The CFTC seeks comments on the adoption of certain risk management programs, including the governance and structure of such programs, the enumerated risks these programs must ...
Two business people arguin at the office
This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...
The comment period for the SEC's swaps proposal has now been extended to August 21
SEC Commissioner Crenshaw
"The rule is designed to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from taking ...
"Protecting the independence of these CCOs’ work protects investors and benefits market integrity"

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