NFA amends self-examination questionnaire *

USA - April 15 2011
The National Futures Association (NFA) has amended the Self-Examination Questionnaire required to be reviewed annually by NFA members in order to identify and correct any supervisory deficiencies.

Co-authors: Kevin Foley.

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CFTC and FTC sign MOU regarding sharing of non-public information *

USA - April 15 2011
The Commodity Futures Trading Commission and the Federal Trade Commission (FTC) have signed a Memorandum of Understanding (MOU) to facilitate the sharing of non-public information between the agencies in connection with investigations into possible market manipulation.

Co-authors: Kevin Foley.

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CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank *

USA - April 15 2011
The Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including whether to phase in the implementation of the new requirements.

Co-authors: Kevin Foley.

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CFTC publishes thirteenth series of Dodd-Frank rules *

USA - April 15 2011
The Commodity Futures Trading Commission has published its thirteenth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Co-authors: Kevin Foley.

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Financial Stability Oversight Council proposes rules regarding designation of financial market utilities as systemically important *

USA - April 1 2011
The Financial Stability Oversight Council (FSOC) has released proposed rules regarding the criteria under which it will designate certain financial market utilities (FMUs) as "systemically important."

Co-authors: Kenneth M. Rosenzweig, Kevin Foley.

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