Swaps

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

"Goldman failed to communicate in a fair and balanced manner based on principles of fair dealing and good faith"

The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants

Our proposal regarding Exchange Act 10B and 9j-1 concerns the transparency and market integrity of security-based swaps, such as credit default swaps and total return ...

"I think it’s important to shine light on these markets before any future such tremors arise"

"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...

'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.

"I also hope that commenters will weigh in on whether we have justified adequately the departures that we have made from the CFTC’s rules"