NFA reminded futures commission merchants and retail foreign exchange dealers that the upcoming holidays will impact the regulatory filing schedules for certain daily financial reports.
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The DOL adopted a prohibited transaction class exemption for persons who are fiduciaries under ERISA as a result of providing investment advice.
The SEC established a "Security-Based Swaps Joint Venture" among several divisions and offices to coordinate operations relating to security-based swap regulation and the oversight of security-based swap entities.
CFTC Chief of Staff and Chief Operating Officer Jaime L. Klima will leave the agency in January 2021.
The CFTC Division of Market Oversight extended no-action relief from the trade execution requirement for swaps between certain affiliated counterparties.