BROKER-DEALER - FINRA Requests Comment on Rules Governing Employees’ Outside Business Activities - On May 15, as part of a new review, the Financial Industry Regulatory Authority requested public comment on the...more
On January 8, 2016, the Division of Clearing and Risk (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued no-action letters providing relief from the mandatory clearing requirement for swaps under Section...more