News & Analysis as of

Securities and Exchange Commission (SEC) National Futures Association

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - August 2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

UB Greensfelder LLP

[Webinar] The Future for Private Funds and Their Advisors – More Regulation; Less Private - February 23rd, 2:00 pm - 3:00 pm EST

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Join Ulmer partner Howard M. Groedel as he discusses recent regulatory actions and what they portend for private funds and their advisors. Among other topics, Howard will address: - The primary take-aways from SEC...more

Akin Gump Strauss Hauer & Feld LLP

NFA Proposes to Amend the Branch Office Definition, Embraces the ‘New Normal’ of Remote Working for CPOs and CTAs

Key Points - Beginning as early as September 2, 2021, a “branch office” for NFA purposes will exclude any remote working location not held out to the public as a CPO or CTA office where one or more APs from the same...more

Alston & Bird

Investment Management, Trading & Markets Updates – January 2021

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SEC Final Rule on Derivatives Use by Registered Funds and BDCs - On October 28, 2020, the SEC passed a final rule to modernize the regulatory framework for derivatives used by registered investment companies, including mutual...more

Akin Gump Strauss Hauer & Feld LLP

CFTC Adopts Bad Actor Disqualifications for CPO Exemptions

- A CPO will be prohibited from claiming an exemption from registration under CFTC Regulation 4.13 if it or any of its principals has in their backgrounds a statutory disqualification under the Commodity Exchange Act. - A...more

Proskauer Rose LLP

NFA Provides Relief to Permit CTAs to Present Gross Past Performance to ECPs; CFTC Proposes Updates to Form CPO-PQR

Proskauer Rose LLP on

In April, the National Futures Association (NFA) provided relief to permit commodity trading advisors (CTAs) who are also registered as investment advisers with the Securities and Exchange Commission (SEC) to provide...more

McGuireWoods LLP

Update No. 6: Financial Regulators, SROs Continue Providing COVID-19-Related Relief

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As reported in prior McGuireWoods alerts, financial services regulators have been issuing guidance and relief to assist the industry as financial services firms and public companies continue to deal with the impact COVID-19...more

Morgan Lewis

COVID-19: US Regulatory Relief and Related Effects on Markets and Participants

Morgan Lewis on

The US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association have each announced temporary regulatory relief for market...more

BakerHostetler

SEC and NFA Provide Relief and Guidance to Investment Advisers Impacted by COVID-19

BakerHostetler on

The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) have issued the following guidance to investment advisers working remotely in response to circumstances related to COVID-19....more

Katten Muchin Rosenman LLP

Business Not as Usual – COVID 19: US Securities and Derivatives Industry Regulators Provide Relief and Guidance

Key Points - - This Katten Advisory focuses on the impact of the COVID-19 outbreak on regulatory compliance obligations of financial firms operating in the United States, with a focus on securities and derivatives industry...more

Katten Muchin Rosenman LLP

Bridging The Week - March 2020 #2

Last week, international regulators began issuing guidance and/or relief to impacted firms in response to the spread of COVID-19. The impact of this novel coronavirus has already begun materially to affect operations and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC Proposes Changes to Simplify Offering Exemptions, CFTC Receives...

SEC/CORPORATE - SEC Amends Disclosure Rules for Registered Debt Offerings - On March 2, the Securities and Exchange Commission adopted amendments to the financial disclosure requirements for registered debt offerings...more

Katten Muchin Rosenman LLP

Bridging The Week - January 2020 #2

A non-US-based investment and brokerage firm agreed to settle spoofing allegations by the Commodity Futures Trading Commission by payment of a US $700,000 fine. In accepting this settlement, the CFTC emphasized the...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues Order to Improve NMS Data Plans, NFA Announces Availability...

BROKER-DEALER - SEC Proposes Changes to Market Data Plans - On January 8, the Securities and Exchange Commission (SEC) released a proposed order to improve the governance of National Market System (NMS) data plans...more

Proskauer Rose LLP

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for Family Offices, BDCs

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On November 25, 2019, the Commodity Futures Trading Commission (CFTC) approved final rule amendments intended to simplify certain existing CFTC rules, codify certain previously granted no-action relief, and better coordinate...more

Katten Muchin Rosenman LLP

Bridging The Week - October 2019 #2

A broker-dealer and its chief executive officer settled charges brought in 2017 by the Securities and Exchange Commission that the firm facilitated manipulative conduct by a customer, despite being alerted by regulators and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's New Reg BI and Form CRS Resources, IRS to Propose Modifying...

BROKER-DEALER - SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment and Approval Procedure - On October 1, the Securities and Exchange Commission proposed an amendment to...more

Katten Muchin Rosenman LLP

Bridging The Week - September 2019 #2

An interdealer broker agreed to pay a fine of US $13 million to the Commodity Futures Trading Commission to resolve charges that it failed to supervise brokers on a swaps desk that allegedly made numerous false or misleading...more

Katten Muchin Rosenman LLP

Bridging The Week - September 2019

A clearing organization for futures and securities was sanctioned US $20 million in aggregate by the Commodity Futures Trading Commission and the Securities and Exchange Commission for allegedly not having and following...more

K&L Gates LLP

CFTC and SEC Issue Privacy Guidance

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CFTC Proposes New Swap Data Reporting Requirements and NFA Proposes Dues Surcharge for Swap Firms - INTRODUCTION - The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”)...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Uncleared Swap Margin Rule, PACE Financing, Hart-Scott-Rodino and...

BROKER-DEALER - SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS - On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more

Katten Muchin Rosenman LLP

Bridging the Week - January 2019 #2

A well-renowned think tank sued the Securities and Exchange Commission claiming that the SEC’s prohibition against respondents contesting allegations in enforcement settlements violates the freedom of speech guarantee under...more

K&L Gates LLP

NFA Proposes Interpretive Notice Addressing CPO Internal Controls

K&L Gates LLP on

Introduction - By letter dated December 10, 2018, the National Futures Association (“NFA”), the self-regulatory organization for the U.S. derivatives industry, submitted to the U.S. Commodity Futures Trading Commission...more

Akin Gump Strauss Hauer & Feld LLP

Developments in Cryptocurrency in 2018

• The U.S. Securities and Exchange Commission (SEC) staff made official statements regarding when a token may or may no longer be a security • The SEC continued to bring actions related to cryptocurrency offerings against...more

Katten Muchin Rosenman LLP

Bridging the Weeks - August 2018

For the second time this year, a Commodity Futures Trading Commission-registered futures commission merchant and National Futures Association member was sanctioned by both regulators for allegedly not supervising post-trade...more

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