Tuesday, December 01. 2020

FERC Presents the 2020 Annual Report on Enforcement

The FERC released its 2020 Annual Report on Enforcement, the fourteenth such report, on November 19, 2020. Prepared by FERC’s Office of Enforcement (OE), the report provides information about the office’s activities over the last fiscal year, including activities performed by the office’s Divisions of Investigations (DOI), Audits and Accounting (DAA), and Analytics and Surveillance (DAS). The report also summarizes audits, litigation filings, and settlements which were approved by the FERC and are publicly available. Continue reading "FERC Presents the 2020 Annual Report on..." »
Posted by
The Novaworks Team
in FERC, FERC Filing Help, XBRL at 10:42

SEC Publishes Statement on European Central Counterparties Seeking to Register or Request Exemptions

On November 23, 2020, the SEC published a Policy Statement and Guidance focused on central counterparties (CCPs) authorized under the European Markets Infrastructure Regulation (EMIR) who may apply to access and operate in the US securities markets. Through the Statement, the SEC provides a look into its processes and emphasizes effective ways that CCPs based in the European Union (EU) may register as a clearing agency or request exemptions from certain requirements under the Securities Exchange Act of 1934. Continue reading "SEC Publishes Statement on European Central..." »
Posted by
The Novaworks Team
in SEC at 09:38
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