NFA’s EasyFile registration system. Beginning March 9, 2015, swap dealers (SD) and major swap participants (MSP) are able to view in the National Futures Association (NFA) EasyFile system all NFA written communications regarding SD and MSP submissions to the CFTC regarding Commodity Exchange Act Section 4s compliance. (3/5/2015) NFA Notice I-15-11.
Background checks. The SEC has approved FINRA’s proposed rule change relating to background checks on registration applicants. The SEC has also approved FINRA’s proposed establishment of a temporary program that will issue a refund to members of Late Disclosure Fees under certain conditions. (3/6/2015) FINRA Regulatory Notice 15-05.
Listing Standards for managed fund shares. NYSE Arca filed with the SEC a proposal to adopt generic listing standards for Managed Fund Shares. Comments should be submitted on or before March 31, 2015. (3/4/2015) SEC Release No. 34-74433.