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FINRA Announces Modifications to IARD Accounting System

USA - June 10 2016 The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that…

Co-authors: Dina Wegh.


NFA Proposes Late Filing Fee for NFA Form PQR and Form PR

USA - June 3 2016 The National Futures Association (NFA) has proposed an amendment to NFA Compliance Rule 2-46 that would add a late filing fee of $200 for each…

Co-authors: Timothy D. Kertland.


European Commission and CFTC Announce Harmonized Approach to CCPs

European Union - February 12 2016 On February 10, the Commodity Futures Trading Commission and the European Commission (EC) announced that they had reached an agreement on a…

Co-authors: Ross Pazzol, Gary DeWaal, Kevin M. Foley, Sarah R. Adams.


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

USA - February 12 2016 The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25…

Co-authors: Ross Pazzol, Gary DeWaal, Kevin M. Foley, Sarah R. Adams.


Foreign Listed Stock Index Futures and Options Approval Chart - January 2016

USA - January 8 2016 Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 2016. All prior versions are…

Co-authors: James D. Van De Graaff, Gary DeWaal, Kevin M. Foley.

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