The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants
The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants
Our proposal regarding Exchange Act 10B and 9j-1 concerns the transparency and market integrity of security-based swaps, such as credit default swaps and total return ...
"I think it’s important to shine light on these markets before any future such tremors arise"
"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...
'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
"I also hope that commenters will weigh in on whether we have justified adequately the departures that we have made from the CFTC’s rules"
"The security-based swap market was at the center of the events that precipitated the 2008 financial crisis, and it remains a multi-trillion dollar market"
"I have asked staff to make a proposal for the Commission’s consideration around conflicts of interest and other governance principles at security-based swap clearing agencies"