The SEC Division of Investment Management granted no-action relief to registered investment companies that keep assets in the custody of certain clearinghouses, or any of their clearing members, to meet margin requirements for certain swaps.
News & Insights
22403 News Results
The Board of Governors of the Federal Reserve System and the FDIC found no deficiencies in the revised resolution plans of eight of the largest and most complex U.S. banking institutions.
FINRA fined a broker-dealer for violations relating to extended settlement transactions.
CME Europe Limited requested that the CFTC withdraw its registration as a foreign board of trade after the voluntary closure of the exchange.
The U.S. Court of Appeals for the Second Circuit vacated a District Court judgment dismissing a securities fraud class action against several major securities exchanges.