DERIVATIVES -
See also “CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing” and “CFTC and European Commission Issue Joint Statement Following Meeting on Cross-Border Derivatives...more
9/23/2019
/ Broker-Dealer ,
CFTC ,
Commodities ,
Cross-Border Transactions ,
Derivatives ,
Derivatives Clearing Organizations ,
Final Rules ,
Foreign Investment ,
Major Swap Participants ,
Swap Dealers ,
Swaps
CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal -
On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more
On March 16, the Commodity Futures Trading Commission unanimously approved a final rule removing reporting and recordkeeping requirements for trade option counterparties that are neither swap dealers nor major swap...more
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
SEC/CORPORATE -
SEC Approves FINRA’s Funding Portal Rules -
On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more
The National Futures Association (NFA) has issued Notice I-15-28, which discusses the legal entity identifiers (LEIs) that are now being used in the NFA’s swap dealer/major swap participant registry (SD/MSP Registry). The...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule