We have improved international coordination by harmonizing rules in many areas, strengthening relationships, and working with other regulators on oversight of markets, all of which ...
While I believe that the commission still has a great amount of work to do, I also believe that Chairman Massad has reason to be ...
I commend Tim on his tenure as Chairman. It has been a distinct honor to serve with him. Along with Commissioner Bowen, our time together ...
Among themselves, Goldman traders described trades based on the manipulated USD ISDAFIX as being based on the “jacked price,” as opposed to the “fair price”; ...
The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-month contracts in the ...
The Defendants solicited potential pool participants to invest with Draven by telling them that their funds would be placed in segregated accounts and traded on ...
No-action relief to DCOs, giving additional six months to begin reporting continuation data on swaps accepted for clearing, subject to certain conditions. Additional relief ...
Convergent had the ability to monitor ZAM’s financial accounts and Zier’s e-mail correspondence relating to ZAM administration, and in 2014, Convergent compliance personnel discovered that ...
No-action letter permitting a provision of the inter-affiliate exemption from required clearing (Commission regulation 50.52(b)(4)(ii)) to be relied upon for swaps executed between certain U.S. ...
As we enter the new year and, perhaps, a new regulatory environment, I believe regulators and others with responsibility for financial markets must do the ...