Clearing agency
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SEC, CFTC sign cooperation memo
The agreement replaces the agencies’ 2018 memorandum and sets out updated procedures for how they can work better together, and apart, from one another.
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SEC extends compliance dates for two rules related to clearing US Treasuries
SEC move aims to help firms fine-tune their policies and procedures.
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SEC acts to improve clearing agencies’ risk management
Amendments relate to intraday margin collection and use of substantive inputs; new rule establishes elements of a clearing firm’s recovery plan.
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SEC adopts new clearing rules and overhauls trading in US Treasury market
In an important set of new rules, the SEC has mandated more central clearing in the US Treasury market to help it absorb ever-increasing Treasury issuances.
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SEC’s new rule seeks to mitigate conflicts of interest at clearing agencies
Move draws broad support but dissenting voice questions level of ‘micromanagement’.
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SEC roundup: Clearing agency rules, foreign issuers, cybersecurity and AI
News you may have missed from the SEC, at a glance.
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SEC proposes to strengthen cybersecurity requirements
New rules are intended to protect the wider securities ecosystem and will apply to most market participants.