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CFTC Announces Agricultural Advisory Committee Meeting

USA - May 28 2021 On May 25, the Commodity Futures Trading Commission announced that on June 9, from 10:00 a.m. To 12:00 p.m., the Agricultural Advisory Committee…

Kevin M. Foley

Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases

USA - May 28 2021 On May 24, the National Futures Association (NFA) issued Notice to Members 1-21-16, announcing the effective date for NFA Member swap dealer and…

Kevin M. Foley

CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR

USA - May 28 2021 On May 26, Commodity Futures Trading Commission’s Market Participants Division (MPD) published updated responses to Frequently Asked Questions…

Kevin M. Foley

FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts

USA - April 23 2021 On April 21, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-16 (Notice) to remind member firms about requirements…

Susan Light

SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues

USA - March 26 2021 On March 22, the Securities and Exchange Commission launched a new page on its website to bring together agency actions and the latest information…

Susan Light