The CFTC Division of Market Oversight extended previously issued no-action relief to non-U.S. swap dealers from certain swap data reporting requirements.
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22393 News Results
A broker-dealer settled NYSE Arca, Inc. charges for executing options orders that contained inaccurate origin codes.
The CFTC adopted final rules on trade execution and swap facilities to codify previously issued no-action relief on "package transactions."
The SEC approved a FINRA temporary rule amendment that allows member firms to complete their inspection obligations remotely through calendar year 2021.
The SEC named Marie-Louise Huth as the Office of the General Counsel's Associate General Counsel for Legal Policy.