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CFTC Announces Review of RSBIX NFL Futures Contracts Proposed by Eris Exchange, LLC
The CFTC recently announced a review of three RSBIX NFL futures contracts self-certified by Eris Exchange, LLC (ErisX): one based…
November 30, 2021
CFTC Division of Enforcement Issues Annual Report
The CFTC’s Division of Enforcement recently issued its annual report for Fiscal Year 2020. A few of the highlights include…
November 30, 2021
SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
The SEC recently adopted a rule to limit the potential for overlapping or duplicative regulation within its security-based swap regulatory…
November 30, 2021
CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
The CFTC recently updated its FAQs regarding CFTC Regulation 4.27 and Form CPO-PQR. There are no new FAQs; rather, these…
November 30, 2021
NFA Compliance Rules 2-9 and 2-36: Members' Use of Third-Party Service Providers
On March 24, 2021, the National Futures Association (“NFA”) provided Notice to Members requiring each Member to adopt and implement…
November 30, 2021
FINRA Changes to Corporate Financing Rule 5110 Effective 9.16.2020
Earlier this summer, FINRA's Board of Governors approved filing with the SEC proposed amendments to FINRA Rule 5110, which requires…
November 26, 2021
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
FINRA recently issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. TRACE is the FINRA-developed…
November 26, 2021
NFA Notice to Members I-20-44-Changes to the NFA Form PQR
The NFA recently issued a reminder that NFA Member CPOs are required to submit their December 31, 2020 NFA Form…
November 26, 2021
The NFA Released Two Rule Submission Letters Regarding Branch Offices and Filing Fines
On Monday, August 23rd, the National Futures Association (“NFA”) released two rule submission letters regarding Branch Offices and Filing Fines.…
November 26, 2021
The SEC Proposed Amendments to its Electronic Recordkeeping Requirements
November 23rd | 2021 Last week, the SEC proposed amendments to its electronic recordkeeping requirements for broker dealers, security-based swap…
November 23, 2021
The SEC’s Division of Examinations Published Their Observations Regarding IA's Fee Calculations
November 11th | 2021 The SEC’s Division of Examinations (the “Division”) has published their observations regarding Investment Advisers’ Fee Calculations.…
November 11, 2021
The SEC’s Division of Examinations Published Observations From Their Series of Examinations
The SEC’s Division of Examinations released observations from their recent assessments of advisers offering digital investment advisory services.
November 11, 2021
The SEC Has Approved the Public Company Accounting Oversight Board’s Rule 6100
November 9th | 2021 Last week, the SEC announced that it has approved the Public Company Accounting Oversight Board’s (PCAOB)…
November 9, 2021
Preliminary Statements for FINRA BD and IA Renewal Feeds are Available for Viewing
November 9th | 2021 As of yesterday, November 8th, Preliminary Statements for FINRA BD and IA renewal feeds are available…
November 9, 2021
Examination of Advisers’ Practices for Principal and Cross Trades Involving Fixed Income Securities
July 26th | 2021 The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) conducted extensive examination…
July 26, 2021
Recent Observations About Common Deficient and Industry Practices Related to Wrap Fee Programs
July 26th | 2021The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) published observations regarding common…
July 26, 2021
CFTC Staff Issues Advisory to Swap Dealers
June 24th | 2021 The CFTC recently issued an advisory to swap dealers clarifying the use of internal models in…
June 24, 2021
Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act
June 22nd | 2021 The SEC recently approved an order that adjusts for inflation the dollar amount thresholds of the…
June 22, 2021