Tag: recordkeeping

SEC Updates Municipal Advisor Registration FAQs for Clarity

10 Jul 2026 1:22 p.m.

The SEC's Office of Municipal Securities updated its FAQs for municipal advisor registration and recordkeeping. The revisions offer greater clarity on compliance requirements for financial professionals in the municipal market.

Politics and Government Business Federal Government Economy Legal Securities and Exchange Commission Office of Municipal Securities Municipal Advisors Registration Recordkeeping FAQs Financial Regulations
CFTC Issues Supplemental Letter on Swap Data Reporting and Recordkeeping

4 May 2026 4:42 p.m.

The Commodity Futures Trading Commission has announced a no-action position concerning swap data reporting and recordkeeping regulations. The decision was issued jointly by the Division of Market Oversight and the Division of Clearing and Risk.

Politics and Government Business Federal Government Financial Markets Legal Economy Commodity Futures Trading Commission CFTC Swap Data Reporting Recordkeeping Financial Regulation Business and Finance Government