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USA - October 19 2012
In light of the numerous regulatory changes triggered by the definition of “swap” taking effect on October 12, Commodity Futures Trading Commission staff released a series of no-action letters and interpretations late last week.
USA - September 7 2012
On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements.
USA - July 20 2012
On July 13, the Commodity Futures Trading Commission approved National Futures Association (NFA) rules and a related interpretive notice that create new requirements for futures commission merchants (FCMs) with respect to customer segregated funds and secured amount accounts.
USA - July 20 2012
On July 17, the CFTC’s Division of Market Oversight granted non-clearing member swap dealers temporary no-action relief from the larger swap trader reporting requirements for physical commodities indentified in CFTC Regulation 20.4.
USA - July 20 2012
On July 16, National Futures Association (NFA) announced that it will conduct a review of its audit practices and procedures and the execution of those procedures with respect to Peregrine Financial Group, Inc. (PFG).
