An SEC-proposed amendment to the rules on electronic submissions of the Electronic Data Gathering, Analysis, and Retrieval System was published in the Federal Register.
News & Insights
The Division of Clearing and Risk and the Division of Swap Dealer and Intermediary Oversight provided relief and guidance concerning the treatment of separate accounts of a single beneficial owner by futures commission merchants.
The CFTC Division of Market Oversight granted no-action relief to a swap execution facility from the requirement to reinstate its registration following a "dormant" period.
The Office of Compliance Inspections and Examinations alerted firms to the increased prevalence of "credential stuffing," a cyberattack method that involves the use of automated scripts to attempt to log into customer accounts using stolen personal information.
The SEC reported on the capital-raising framework recommendations made by participants of the 39th Annual Small Business Forum and the SEC's response to them.