Articles

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FINRA Releases Guidance In Light of FinCEN Customer Due Diligence Requirements

USA - December 1 2017 On November 21, the Financial Industry Regulatory Authority issued Regulatory Notice 17-40, which provides member firms guidance as it relates to…

Michael T. Foley

CFTC Extends No-Action Relief for Certain Swaps Executed as Part of Packaged Transactions

USA - November 3 2017 On October 31, the Commodity Futures Trading Commission's Division of Market Oversight extended no-action relief for certain swaps executed as part…

Kevin M. Foley

CFTC Extends No-Action Relief to SEFs Related to Certain Audit Trail Requirements

USA - November 3 2017 On October 31, the Commodity Futures Trading Commission's Division of Market Oversight extended no-action relief to swap execution facilities (SEFs)…

Kevin M. Foley

CFTC Grants Amended Order With Respect to Foreign Futures Contracts Listed on the Dubai Mercantile Exchange

USA - November 3 2017 On October 31, the Commodity Futures Trading Commission issued an order to the Chicago Mercantile Exchange (CME) and its clearing members that are…

Kevin M. Foley

SEC Approves FINRA Registration, Qualification and Continuing Education Rules

USA - October 13 2017 The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority rules that (1) consolidate the National Association…

Michael T. Foley