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Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, Derivatives, CFTC and UK/Brexit/EU...

FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP - As previously discussed in the September 1edition of Corporate & Financial Weekly Digest, the Financial Accounting Standards Board (FASB) had...more

Corporate and Financial Weekly Digest - Volume XII, Issue 23

SEC/CORPORATE - SEC Updates to Form ADV FAQs - On June 12, the staff of the Securities and Exchange Commission’s Division of Investment Management updated its Frequently Asked Questions on Form ADV and IARD. Much of the...more

CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule

On December 5, the Commodity Futures Trading Commission (CFTC) issued final regulations regarding the aggregation of positions and accounts to assess compliance with speculative position limits, as well as to add a potential...more

Foreign Listed Stock Index Futures and Options Approval Chart November 2016

This Foreign Listed Stock Index Futures and Options Approvals chart is current as of November 2016....more

CFTC Approves Supplemental Proposal to Regulation AT

On November 4, the Commodity Futures Trading Commission (CFTC) approved for publication in the Federal Register a supplemental proposal (the "Supplemental Proposal") to Regulation Automated Trading ("Regulation AT"). The...more

Foreign Listed Stock Index Futures and Options Approval Chart October 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 2016. All prior versions are superseded and should be discarded. Please note the following developments...more

Corporate and Financial Weekly Digest - Volume XI, Issue 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

Corporate and Financial Weekly Digest - Volume XI, Issue 33

SEC/CORPORATE - SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K - On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the issues...more

CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions...

On May 26, the Commodity Futures Trading Commission (CFTC) proposed amendments to its previously proposed rules related to speculative position limits on 28 core referenced futures contracts (the "2016 Amendment"). If...more

CFTC Issues No Action Relief for EU-Based DCOs Authorized to Operate in EU

Following on a joint statement by the Commodity Futures Trading Commission and European Commission announcing a common approach to the regulation of central counterparties (CCPs), the CFTC published a comparability...more

CFTC Extends No Action Relief for SEFs With Respect to Certain Uncleared Swaps Transactions

The Commodity Futures Trading Commission’s Division of Market Oversight has extended previously granted relief for Swap Execution Facilities (SEFs) with respect to requirements for certain transactions in uncleared swaps....more

NFA To Review Initial Margin Models for SDs and MSPs

National Futures Association (NFA) has issued a notice reminding its swap dealer (SD) and major swap participant (MSP) members of their obligations under the new uncleared swap margin requirements adopted by the Commodity...more

NFA Issues Notice Regarding Cybersecurity Self-Examination Questionnaire

On February 29, National Futures Association (NFA) issued Interpretive Notice I-16-10, which notifies member firms about the addition of a cybersecurity section to NFA’s Self-Examination Questionnaire. This section is...more

CFTC Grants Relief for End Users from Trade Option Filing Requirements

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has issued CFTC Letter No. 16-10, which provides temporary no-action relief from certain trade option reporting requirements to market participants...more

CFTC Designates NFA as SDR Data Recipient

The Commodity Futures Trading Commission has issued an order authorizing National Futures Association (NFA) as a designee of the CFTC for purposes of receiving direct electronic access to swap data repository (SDR) data. All...more

2/24/2016  /  CFTC , NFA , Swap Data Repositories

CFTC Grants Relief to Certain Non-U.S. Intermediaries

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief to certain intermediaries located outside the United States. As background, CFTC Regulation...more

FINRA Files Proposed Rule Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission (SEC) a proposed rule change that would require the registration of associated persons of FINRA member firms who are...more

CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25. Topics to be addressed are: (1) the EEMAC’s report detailing its 2015...more

European Commission and CFTC Announce Harmonized Approach to CCPs

On February 10, the Commodity Futures Trading Commission and the European Commission (EC) announced that they had reached an agreement on a harmonized approach to central clearing counterparties (CCPs). The agreement ensures...more

NFA Issues Notice Regarding Swap Valuation Dispute Notices

On February 2, National Futures Association (NFA) issued Notice I-16-07, which implements an order previously issued by the Commodity Futures Trading Commission authorizing NFA to receive notices of swap valuation disputes...more

Extension of Time-Limited, Conditional No-Action Relief Regarding Masking Certain Reportable Identifying Information

On January 15, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued CFTC letter 16-03 (“Letter”) providing a conditional, time-limited extension of the relief provided in CFTC Letter 13-41,...more

CFTC Launches Whistleblower Program’s Website

On January 21, the Commodity Futures Trading Commission launched its Whistleblower Program’s new website, www.whistleblower.gov. The new website has a user-friendly interface to help educate the public regarding the...more

CFTC Issues Order Delegating to the NFA Certain Functions Related to Notices of Swap Valuation Disputes

The Commodity Futures Trading Commission has authorized the National Futures Association (NFA) to receive, review, maintain and serve as the official custodian of records for notices of swap valuation disputes in excess of US...more

CFTC Issues No-Action Relief From the Swap Clearing Requirements for Small Bank Holding Companies, Small Savings and Loan Holding...

On January 8, the Division of Clearing and Risk (Division) of the Commodity Futures Trading Commission issued no-action relief from the swap clearing requirements of Section 2(h)(1)(A) of the Commodity Exchange Act to certain...more

NFA Revises SD and MSP 4s Review Process

National Futures Association (NFA) has revised its review process for swap dealer (SD) and major swap participant (MSP) applications under Section 4s of the Commodity Exchange Act. Effective immediately, SDs and MSPs are no...more

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