CFTC approves final rule requiring recording of oral communications *

USA - December 20 2012
On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35.

Co-authors: Blake J. Brockway, Lisa A. Dunsky, Arthur W. Hahn, Kevin Foley.

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CME Group applies to create London-based derivatives exchange *

United Kingdom - August 24 2012
On August 20, CME Group announced that it is in the process of applying to the United Kingdom’s Financial Services Authority (FSA) to create a London-based derivatives exchange.

Co-authors: Tanja Samardzija.

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NFA proposes amendment requiring view-only access to customer accounts *

USA - August 24 2012
On August 21, the National Futures Association proposed a rule requiring every member futures commission merchant (FCM) to provide its designated self-regulatory organization (DSRO) with view-only Internet access to account information for each of the FCM’s customer segregated funds and secured amount accounts.

Co-authors: Blake J. Brockway.

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CFTC interim compliant identifier website is launched by DTCC and SWIFT *

USA - August 24 2012
On August 21, the Commodity Futures Trading Commission, Depository Trust & Clearing Corporation and SWIFT announced the launch of a website that allows market participants to register for CFTC Interim Compliant Identifiers (CICIs).

Co-authors: Blake J. Brockway.

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FIA presents NFA registration webinar *

USA - August 24 2012
On August 21, the Law and Compliance Division of the Futures Industry Association announced that it will host a webinar to help swap dealers and major swap participants understand the Commodity Futures Trading Commission registration process.

Co-authors: Blake J. Brockway.

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