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Over The Counter Derivatives (OTC) Financial Services Industry Reporting Requirements

A&O Shearman

IOSCO consultation on good practices concerning OTC commodities derivatives markets

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The International Organization of Securities Commissions (IOSCO) has published a consultation report on good practices concerning over-the-counter (OTC) commodity derivatives markets. ...more

Mayer Brown Free Writings + Perspectives

No-Action Letter on “Group” Reporting under Section 13(d) and 13(g) for Parties to OTC Derivatives Contracts

On January 23, 2026, the staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission issued a letter in which it stated it would not object if a large investment bank (the “Bank”) determines...more

A&O Shearman

ESMA launches selection of CTP for OTC derivatives

A&O Shearman on

The European Securities and Markets Authority (ESMA) has announced the launch of its first selection procedure for a consolidated tape provider (CTP) for over-the-counter (OTC) derivatives. ESMA encourages interested entities...more

Perkins Coie

SEC and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities

Perkins Coie on

The staffs of the Division of Trading and Markets (Division) of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the “Regulators”) published a joint...more

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