News & Analysis as of

Industry Examinations Proposed Amendments

Eversheds Sutherland (US) LLP

Swap APs exempt from Branch Office Manager Series 30 Examination requirement effective January 3, 2022

On Monday, November 27, 2021, the National Futures Association (NFA) submitted to the CFTC proposed amendments to NFA Compliance Rule 2-7 to exclude associated persons (APs), designated as “swap” APs, from the Branch Office...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Court Rejects MSHA’s Revisions to Workplace Examination Rule

Due to a recent court decision, metal/nonmetal mine operators are again facing the possibility of having to comply with two of the more onerous provisions of the Mine Safety and Health Administration’s (MSHA) workplace...more

A&O Shearman

US Commodity Futures Trading Commission Approves Proposed Amendments to Self-Regulatory Organization Surveillance Programs for...

A&O Shearman on

The Commodity Futures Trading Commission has proposed to simplify its standards for a self-regulatory organization's financial surveillance program for futures commission merchants. The proposed amendments result from the...more

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