NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
Confirmations: NFA and CME’s Financial Match.com
The leaders of the U.S. Commodity Futures Trading Commission, the Financial Crimes Enforcement Network, and the U.S. Securities and Exchange Commission (the “Agencies”) issued a joint statement to remind persons engaged in...more
Despite the new administration, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have both continued to make novel interpretations and to bring enforcement actions that break...more
U.S. Developments - Regulatory Updates - CFTC Issues Customer Advisory Urging Public to Use Caution When Buying Virtual Currencies - On July 16, 2018, the U.S. Commodity Futures Trading Commission (“CFTC”) issued...more
On July 20, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated its list of jurisdictions with anti-money laundering and counter-terrorist...more
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
In This Issue: - Regulatory Updates: ..NEP Announces Never-Before-Examined Initiative; Examination Priorities for 2014; Division of Investment Management Lists 2013 Accomplishments; Sets 2014 Agenda; Money...more
In this issue: - FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications - SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule” - NFA Members...more
The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes Enforcement Network (FinCEN) has issued an advisory containing guidance with...more
In this issue: - SEC Proposes Rules for “Regulation A+” Offerings - NFA Notifies Members of FinCEN Advisory - SEC Announces Enforcement Results for 2013 - Delaware Chancery Reviews Privilege for...more