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FINRA proposal approved addressing application of FINRA rules to security-based swaps, SEC charged two individuals with trading on material nonpublic information, GAO found federal agencies were inconsistent in implementing cybersecurity requirements under FISMA and more.
On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets.
On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among...
On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the…
As of November 1, 2021, dealers in security-based swaps SBS whose dealing activity exceeds certain de minimis thresholds are required to register with the SEC as a security-based swap dealer SBSD and to comply with the SEC’s regulations applicable to SBS.