The SEC and CFTC Recommend Significant Changes to the Regulatory Landscape Governing Securities Derivatives and Futures Products


The Securities and Exchange Commission ("SEC") and Commodity Futures Trading Commission ("CFTC") issued a joint report on Friday, October 16, 2009, recommending a series of proposals to strengthen the agencies' oversight and enforcement capabilities of new securities and futures products. The "Joint Report of the SEC and the CFTC on Harmonization of Regulations" provides 20 recommendations to both Congress and the agencies themselves that, if implemented, would significantly align SEC and CFTC rules regarding markets, financial intermediaries, enforcement operations and operational coordination between the two agencies.

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Published In: Securities Updates

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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