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Searching Content indexed under Compliance by Nihal Patel ordered by Published Date Descending.
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FINRA Announces Updates To The Regulatory Extension System
FINRA enhanced the functionality of its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time pursuant to FINRA Rule 4210.
United States
20 Feb 2018
2
Swap Dealer Fined $10 Million For Providing Inaccurate Mid-Market Marks
A swap dealer agreed to pay a civil monetary penalty to settle CFTC charges related to providing inaccurate mid-market marks on swaps transactions and related reporting and supervisory violations.
United States
13 Nov 2017
3
SEC Extends SDR Registration Compliance Date
The SEC extended an exemption for security-based swap data repositories ("SDRs") from compliance with rules that govern the SDR registration process, duties and core principles under Title VII of the Dodd-Frank Act.
United States
13 Apr 2017
4
SIFMA AMG And IAA Request Transitional Relief From Variation Margin Implementation Deadline
SIFMA AMG and the IAA submitted a request to U.S., Japanese and European regulators for transitional relief from the March 1, 2017 compliance date for variation margin requirements...
United States
6 Feb 2017
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