The Division will not recommend that the Commission take enforcement action against a CDFI for failure to clear interest rate swaps through a registered or ...
Tawachi made a series of materially false claims to bolster the credibility of his trading system, including making false claims about the profitability of ...
Extension of time-limited no-action relief with respect to certain Commodity Exchange Act provisions that may apply to Southwest Power Pool, Inc. and/or its participants
Today, we can assess and monitor swap exposures by participant or product. We can compare cleared and uncleared risk. We are integrating swaps data into ...
The requesting parties provide a number of reasons why SEFs do not capture post-trade allocation information in their audit trail data, as required by Commission ...
While passing the federal budget was an important step forward, and it’s appropriate that the SEC received an increase, I am deeply disappointed that Congress ...
Today’s final rule clarifies that members of exchanges and swap execution facilities not registered with the Commission—typically, end-users—do not have to keep pre-trade communications or ...
I believe the final Rule 1.35 generally gets the balance right. Yet, I must give a plain and simple warning: The elimination of unnecessary recordkeeping ...
JPMCB failed to fully disclose its preference for investing its client funds in certain commodity pools or exempt pools, namely hedge funds and mutual funds ...
We have seen how global financial institutions have changed their business models to “deguarantee” the transactions of their overseas swap dealers so as to circumvent ...