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FINRA Files Proposed Amendment to Margin Requirements for Credit Default Swaps Rule

USA - June 17 2016 On June 15, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed amendment to FINRA Rule 4240…

Stanley V. Polit.

SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps

USA - June 10 2016 On June 8, the Securities and Exchange Commission announced the adoption of the Securities Exchange Act of 1934 (Exchange Act) Rules 15Fi-1 and…

Guy Dempsey, Stanley V. Polit.

FINRA Releases Notice Regarding the SEC’s Approval of Algorithmic Trading Developer Registration Requirements

USA - June 10 2016 On June 6, the Financial Industry Regulatory Authority released Regulatory Notice 16-21, which announced the Securities and Exchange Commission's…

James D. Van De Graaff, Janet M. Angstadt, Stanley V. Polit.

CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits

USA - June 6 2016 On May 26, the Commodity Futures Trading Commission (CFTC) proposed amendments to its previously proposed rules related to speculative position limits…

Gary DeWaal, Kevin M. Foley, Sarah R. Adams.

CFTC Proposes to Amend RTO-ISO Order

USA - May 13 2016 The Commodity Futures Trading Commission has proposed to amend its order exempting specified electric energy-related transactions administered by…

James M. Brady.