On February 28, 2023, the National Futures Association (NFA), the self-regulatory organization for U.S. derivatives market participants, submitted to the Commodity Futures Trading Commission (CFTC) for approval a new...more
3/17/2023
/ CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Compliance ,
Derivatives ,
Digital Assets ,
Digital Currency ,
Futures ,
Jurisdiction ,
Market Participants ,
National Futures Association ,
Proposed Rules
On January 26, 2023, the International Swaps and Derivatives Association Inc. (ISDA), the leading trade organization for over-the-counter (OTC) derivatives markets, published the ISDA Digital Asset Derivatives Definitions...more
On March 15, 2021, ISDA published the ISDA 2021 Security-Based Swaps (SBS) Top-Up Protocol (the SBS Top-Up Protocol). The SBS Top-Up Protocol enables SBS dealers (SBSDs) and other market participants to comply with certain...more
On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more
11/25/2020
/ Amended Rules ,
Broker-Dealer ,
Derivatives ,
Exceptions ,
Internal Reporting ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Investors ,
Mutual Funds ,
New Regulations ,
Policies and Procedures ,
Popular ,
Recordkeeping Requirements ,
Registered Funds ,
Reporting Requirements ,
Repurchase Agreements ,
Risk Assessment ,
Risk Management ,
Rule 18f-4 ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Stress Tests