Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: SRO

Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments

Posted in CFTC, Derivatives
On May 21, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Bylaw 1301 regarding the schedule of dues and assessments for swaps firms. NFA Bylaw 1301 imposes dues and assessments on futures commission merchants (FCM) (for which NFA is the designated self-regulatory organization (DSRO)), introducing brokers (IB),… Continue Reading

CFTC Unanimously Approves Rule Amendments to Ease Regulatory Burdens

Posted in CFTC, Derivatives
On March 28, the Commodity Futures Trading Commission announced that it has unanimously approved two final rule amendments designed to ease registrants’ regulatory burdens. Both final rule proposals originated from the CFTC’s Project KISS Initiative, which is intended to simplify and reduce burdens by revisiting our rules based on staff implementation experience and public comment.… Continue Reading

CFTC Takes Action on Rules Relating to Swaps and Swap Execution Facilities

Posted in CFTC
On November 5, the Commodity Futures Trading Commission held an open meeting to consider the following matters relating to swaps and swap execution facilities: Final Rule: Amending the De Minimis Exception to the Swap Dealer Definition Proposed Rule: Amendments to Regulations on Swap Execution Facilities and Trade Execution Requirement Request for Comment Regarding the Practice… Continue Reading

SEC Seeks Public Comment on Consolidated Audit Trail Proposal

Posted in Broker-Dealer
The Securities and Exchange Commission plans to publish for public comment a National Market System (NMS) plan to create a consolidated audit trail (CAT) to better enable regulators to track trading in equity and option securities. The CAT plan was submitted jointly by the national securities exchanges and the Financial Industry Regulatory Authority to the… Continue Reading