"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 ...
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 ...
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 ...
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 ...
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 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 ...