In this issue:

- SEC Chair Gives Speech on Equity Market Structure

- New CFTC Commissioners Confirmed; Chairman Sworn In

- CFTC Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers

- CFTC and Reserve Bank of Australia Sign Memorandum of Understanding Regarding Cross-Border Clearing Organizations

- NFA Issues Notice Regarding Changes to Form PQR and Form PR

- Delaware Court of Chancery Invalidates Consent Due to Inadequate Disclosures

- Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme

- Excerpt from New CFTC Commissioners Confirmed; Chairman Sworn In:

On June 3, the Senate confirmed the appointment of Timothy Massad, Christopher Giancarlo and Sharon Bowen as Commissioners of the Commodity Futures Trading Commission. Mr. Massad, who previously served as the Assistant Secretary for Financial Stability at the US Department of the Treasury, was subsequently sworn in as Chairman of the CFTC. Mr. Giancarlo, a financial services industry veteran, joins the CFTC from GFI Group where he served as the Executive Vice President. Prior to joining the CFTC, Ms. Bowen was a securities attorney and the acting chair of the Securities Investor Protection Corporation.

Please see full advisory below for more information.

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Written by:

Published In:

CPO
NFA
SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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