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Articles by Lawrence B. Patent
CFTC and SEC Issue Privacy Guidance | JD Supra
CFTC Proposes New Swap Data Reporting Requirements and NFA Proposes Dues Surcharge for Swap Firms INTRODUCTION The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) have recently issued guidance with respect to privacy notices and customer data. The CFTC also proposed a rule to improve the quality and transparency of swaps data.
CFTC Proposed Amendments To Swap Data Reporting Requirements
May 16, 2019 What Processing Delays in Immigration Cases Mean by: Amy L. Peck California Employment Law Notes - May 2019 by: Employee Benefits, Executive Compensation & ERISA Litigation President Trump Prohibits Most Trade and Transactions with Huawei of... by: Customs & International Trade Group Employer’s Campaign Prediction That Employees Would Have To Join... by: Mark Theodore Mississippi Gaming Commission Posts Meeting Minutes for May 2019 by: Thomas B. Shepherd and Christopher S.
Swaps Proficiency Requirements for Associated Persons; Revised Form 7-R | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
NFA Proposes Interpretive Notice Addressing CPO Internal Controls | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
CFTC Proposes to Codify Relief for CPOs and CTAs | JD Supra
The U.S. Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) to codify certain relief previously granted through an Advisory and Staff Letters (“Proposals”) [1].
CFTC and NFA Announce Changes in Regulation Regarding Position Limits and Virtual Currency | JD Supra
The Commodity Futures Trading Commission (“CFTC”), the U.S. federal regulatory agency for futures and other derivatives, and the National Futures Association (“NFA”), the industry-wide self-regulatory organization, both recently announced changes to their regulatory frameworks. The CFTC is proposing to permit increased trading in security futures products (“SFP”), which will likely impact a discrete number of market participants under the CFTC’s supervision.
Virtual Currency -- NFA Reporting Requirements and CFTC Proposed Interpretation of “Actual Delivery”
National Futures Association(NFA) is requiring that member commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) immediately notify NFA if they operate a pool or manage an account that engages in a transaction involving any virtual currency or virtual currency derivative.
CFTC Amends Recordkeeping Requirements
Introduction On May 23, 2017, the Commodity Futures Trading Commission (“CFTC” or “Commission”) adopted amendments to its general regulations regarding the retention and production of regulatory records, which are set forth in CFTC Regulation 1.31 adopted under the Commodity Exchange Act (the “Act”).
CFTC Amends Recordkeeping Requirements
On May 23, 2017, the Commodity Futures Trading Commission (“CFTC” or “Commission”) adopted amendments to its general regulations regarding the retention and production of regulatory records, which are set forth in CFTC Regulation 1.31 adopted under the Commodity Exchange Act (the “Act”).
Regulators Provide Guidance on Variation Margin for Uncleared Swaps; CFTC Also Delays Compliance Date for Filing Notices to Disaggregate Positions
Global regulators adopted regulations to govern the posting and collection of margin on uncleared swaps.[1] These regulations are set to take effect in stages over a four-year period.
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