The Securities and Exchange Commission (“SEC”) recently proposed to amend its rules relating to the collection, consolidation, and dissemination of securities data in national market ...
The CFTC unanimously approved final interpretive guidance describing what constitutes “actual delivery” of a virtual currency for purposes of the actual delivery exception from the pr...
The CFTC today joined other U.S. financial regulators in providing coronavirus (COVID-19) related relief from certain regulatory requirements. This relief is designed to help CFTC-registe...
On December 18, 2019, the CFTC proposed rules that would modify and codify the cross-border application of certain of its Title VII swap rules to both U.S. and non-U.S. registered swap de...
This visual memorandum describes the proposed amendments to the covered fund provisions of the Volcker Rule regulations issued by the Federal Reserve, FDIC, OCC, SEC and CFTC. To make the...
On January 30, 2020, the Federal Reserve Board, OCC, FDIC, SEC and CFTC (the Agencies) proposed amendments to the covered fund provisions of the Volcker Rule. The proposed amendments addr...
The CFTC’s Division of Swap Dealer and Intermediary Oversight recently issued a statement recognizing that CCOs may face potential timing constraints in implementing the recommendations...
On December 10, 2019, the CFTC reopened the comment period for the proposed capital requirements for swap dealers and major swap participants that are not subject to the capital rules of ...
The CFTC’s Division of Swap Dealer and Intermediary Oversight issued an advisory on December 4, 2019 to provide further guidance regarding the preparation and submission of CCO annual r...
In a long-awaited milestone, the SEC has proposed an update of Guide 3, the industry guide for banking organizations. The proposal eliminates a number of the current requirements under G...
