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SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities

USA - September 1 2016 On August 18, the Securities and Exchange Commission (SEC) issued an order approving proposed Financial Industry Regulatory Authority (FINRA) rules…

James D. Van De Graaff, Janet M. Angstadt, Michael T. Foley.

CFTC Issues No-Action Letter Regarding Use of Security-Based Swaps in Initial Margin Calculations for Uncleared Swaps

USA - August 26 2016 On August 23, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk (the…

Stanley V. Polit.

CFTC Issues Final Response To Remand Order in SIFMA v. CFTC

USA - August 19 2016 On August 16, the Commodity Futures Trading Commission published in the Federal Register its final response to the order of the US District Court for…

Stanley V. Polit.

CPMI and IOSCO Publish Report on CCP Resiliency Planning

Global, USA - August 19 2016 The Committee on Payments and Market Infrastructures (CPMI) and the Board of the International Organization of Securities Commissions (IOSCO)…

Stanley V. Polit.

FINRA Requests Comments on Proposed Gift, Gratuities and Non-Cash Compensation Rule Amendments

USA - August 12 2016 On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-29, which solicits comments to proposed amendments to FINRA's…

Stanley V. Polit.