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The prior SEC statement on complying with the Commission's security-based swap data repository rules, due to expire next month, has been extended until Nov. 5, ...
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The staff's interpretation clarifies that swap dealers and major swap participants may post and collect with counterparties certain U.S. Treasury ETFs as initial margin and ...
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This new CFTC final rule, which imposes minimum capital requirements on swap dealers and major swap participants, becomes effective in June, and the compliance date ...
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This rule is effective May 31, 2024
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The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...
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This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...
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The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
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The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
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This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...
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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 ...
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