Insights

SBSD De Minimis Threshold Phase-In: Potential Relief Ahead, but Firms Should Prepare for All Scenarios

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Summary Situation Overview: The SEC’s temporary de minimis thresholds for security-based swap dealing activity ($8 billion for credit default swaps and $400 million for non-CDS) are scheduled to change following the expiration of the current…

Spoofing Enforcement Cases and Steps to Protect Your Firm

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Summary Situation Overview: Domestic and foreign regulators continue to pursue actions against firms for spoofing and market manipulation activities. What: There is a continuing need for vigilance in detecting and preventing spoofing, particularly…