By Joe Mont2015-01-14T16:00:00
The SEC has adopted new rules that will require security-based swap data repositories to register with the Commission and adhere to new recordkeeping and data transparency requirements. Commissioner Michael Piwowar was a dissenting vote over what he says were last-minute changes intended to crack down on individuals who lie to ...
2016-02-17T02:00:00Z By Joe Mont
Consider it regulatory kismet. Independently, on Feb. 10, the SEC and Commodity Futures Trading Commission finalized long-lingering rules and agreements needed to resolve concerns with the international marketplace for derivatives deals. The SEC’s new rules cover foreign swaps dealers who maintain trading desks in the United States, closing a perceived ...
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
2025-09-15T20:00:00Z By Aly McDevitt
President Donald Trump is pushing for a shake-up in corporate reporting rules, calling on companies to file earnings with the SEC only twice a year instead of every quarter.
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