The self-regulatory organization responds to the US derivatives market’s shift to remote working arrangements.
As the novel coronavirus outbreak (COVID-19) continues to spread across the globe, causing various disruptions,...more
Broker-dealers with historical or ongoing instances of non-compliance with the SEC’s Customer Protection Rule are encouraged to self-report by November 1, 2016.
On June 23, 2016, the Securities and Exchange...more
6/29/2016
/ Broker-Dealer ,
Compliance ,
Cooperation ,
Customer Protection Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Individual Accountability ,
OCIE ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Reporting
The conditional, time-limited no-action letter extends certain compliance deadlines under the new rules.
On November 18, 2013, the US Commodity Futures Trading Commission (CFTC) published final rules on Ownership and...more
The SEC Final Rule is the SEC’s first major step toward implementing its final regulatory regime under Title VII of the Dodd-Frank Act.
On June 25, 2014, the Securities and Exchange Commission (SEC) approved a final...more
Note: This version includes an additional section on cross-border considerations.
Significant amendments to the CFTC’s large trader reporting program will apply as of August 15, 2014.
The U.S. Commodity...more
The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects.
The Securities and Exchange Commission (SEC) recently approved two proposals...more
The US Commodity Futures Trading Commission (CFTC), on November 5, 2013, re- proposed a rulemaking (the Re-Proposed Rule) that would establish specific limits on speculative positions in 28 physical commodity futures and...more
Staff responds to industry concerns and confusion surrounding SEF operations and onboarding.
One of the key aspects of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) is...more