Regulatory Developments:
CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR -
On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more
11/12/2015
/ CFTC ,
Chief Compliance Officers ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
MSRB ,
NFA ,
Outsourcing ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Voting Requirements ,
VPPA
Editor’s Note -
The Supreme Court Halts Challenge by Retailers to the Debit Card Interchange Fee Rules: On January 20, 2015, the Supreme Court denied certiorari to a challenge by retailers to debit card interchange fee...more
1/22/2015
/ CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Debit Cards ,
Disclosure Requirements ,
Federal Reserve ,
Interchange Fees ,
Investment Adviser ,
National Futures Association ,
Proxy Season ,
Retailers ,
S&P ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Shareholder Proposals
Editor’s Note:
FINRA Rulemaking: In this issue we report on three recent FINRA rule amendments. The first amends the NASD rule on the use of customer account statements to require that member firms use more accurate...more
1/8/2015
/ Amended Regulation ,
Broker-Dealer ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Family Offices ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
NASD ,
NYSE ,
REIT ,
Securities ,
Securities and Exchange Commission (SEC)
Regulatory Developments -
SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates -
The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more
12/24/2014
/ Asset Management ,
Bitcoin ,
BitLicense ,
CPOs ,
Employee Retirement Income Security Act (ERISA) ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
FSOC ,
Investment Adviser ,
JOBS Act ,
MiFID ,
NFA ,
Proposed Amendments ,
Registration ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Volcker Rule ,
Year-End Planning
Editor’s Note -
Spotlight on FINRA Retrospective Rule Review: On December 9, FINRA announced it had issued reports on its retrospective review of two groups of rules – a report on the rules on communications with the...more
12/11/2014
/ ACH Payments ,
Banking Sector ,
BSA/AML ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Examination Manual ,
FDIC ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Banks ,
Guidance Update ,
Information Reports ,
NACHA ,
NFA ,
OCC ,
Rare Earth Metals ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Supervision ,
Transparency
The SEC’s Semiannual Regulatory Agenda. The Federal Office of Information and Regulatory Affairs posted the SEC’s most recent Semiannual Regulatory Agenda which, in compliance with the Regulatory Flexibility Act, identifies...more
12/5/2014
/ Administrative Hearings ,
Brokers ,
CFTC ,
CPOs ,
Cross-Border Transactions ,
Disgorgement ,
HSBC ,
Investment Adviser ,
Prejudgment Interest ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Small Business
Editor’s Note:
Bank Regulators Again Looking at Incentive Compensation and Excessive Risks. Federal Reserve Board Governor Daniel Tarullo and New York Federal Reserve President William Dudley spoke on October 20 at a...more
10/23/2014
/ Arbitration ,
Arbitrators ,
Banks ,
CFTC ,
CPOs ,
DSIO ,
Enforcement Actions ,
Falsified Documents ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
No-Action Relief ,
Securities and Exchange Commission (SEC)
Spotlight on the MSRB: In the Industry Developments section we report that the SEC, FINRA and the MSRB will be conducting a compliance outreach program for municipal advisors. The Municipal Securities Rulemaking Board was...more
10/9/2014
/ CARDS ,
CPOs ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Herbalife ,
Insider Trading ,
Investment Adviser ,
Municipal Advisers ,
NFA ,
Pay-To-Play ,
Public Comment ,
Securities and Exchange Commission (SEC)