Crypto Task Force - SEC.gov
Mar 25, 2025 · The Crypto Task Force seeks to provide clarity on the application of the federal securities laws to the crypto asset market and to recommend practical policy measures that …
SEC.gov | Frequently Asked Questions on Regulation SBSR
Q9: I am aware of the Commission’s No-Action Statement, which expresses the Commission’s general approach that, if market participants follow CFTC reporting protocols for the pendency …
SEC Adopts Amendments to Enhance Private Fund Reporting
Feb 8, 2024 · The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, …
Given the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are …
Final Rule: Applicability of CFTC and SEC Customer Protection ...
Sep 13, 2002 · The CFTC also proposed amendments to CFTC Rule 1.55 and the CFTC's Part 190 bankruptcy rules, and the SEC proposed amendments to SEC Rules 15c3-3, 17a-3, 17a …
In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market. The 2010 Dodd-Frank Wall Street Reform and …
SEC.gov | SEC Charges 11 Wall Street Firms with Widespread ...
Aug 8, 2023 · The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and …
Dodd-Frank Act Rulemaking: Derivatives - SEC.gov
Apr 5, 2015 · These are called “security-based swap agreements.” The Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the …
Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on …
Oct 11, 2019 · In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps …
SEC.gov | Extension of Form PF Amendments Compliance Date
Jan 29, 2025 · The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF …