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Articles by Tyler Senackerib
Davis Polk Discusses SEC Request for Information on Digital Engagement by Broker-Dealers, Investment Advisers
In light of the growing popularity of digital investing platforms and increased scrutiny of these platforms by Congress, the SEC has released a broad request for information and public comment (RFI) on all matters related to the use of digital engagement practices and analytical and technological tools by broker-dealers and investment advisers.
SEC Issues Order Requiring Changes to NMS Plan Governance
The Securities and Exchange Commission acted on the first of its proposals to substantially revamp the regulations concerning equity market data by issuing an order directing the national securities exchanges and the Financial Industry Regulatory Authority to propose a new National Market System equity market data plan.
SEC Proposes Changes to Market Data Infrastructure
The SEC recently proposed amendments to the current market data infrastructure to expand the content required to be published on the consolidated tape and decentralize the collection, consolidation, and dissemination of market data through the introduction of proposed competing consolidators and self-aggregators. Please see our client memorandum for more details. Law Clerk Charles Klug contributed to this blog post. View as a PDF
CFTC Adopts Final Interpretation on the Actual Delivery Exception for Leveraged Retail Virtual Currency Transactions
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 provisions of the Commodity Exchange Act that prohibit any leveraged, margined, or financed transaction in a commodity with a retail customer, unless the transaction is conducted as if it were a futures contract.
CFTC Issues COVID-19 Related Relief for Futures and Swap Market Participants
The CFTC today joined other U.S. financial regulators in providing COVID-19 related relief from certain regulatory requirements. This relief is designed to help CFTC-registered swap dealers, futures commission merchants (FCMs), introducing brokers, swap execution facilities (SEFs), designated contract markets (DCMs) and other market participants whose operations may be disrupted by the pandemic.
Visual Memo: CFTC Proposes Amendments to Cross-Border Rules
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 dealers and major swap participants.
Volcker 2.1: Agencies Propose Revisions to Covered Fund Provisions
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 address long-standing concerns with the over-broad definition of covered fund, the treatment of foreign funds (both public and private), and the Super 23A prohibition. The proposal is relatively short and straight-forward.
The Last Piece of the Puzzle: CFTC Reopens Comment Period for Capital Requirements and Proposes Amendments to Inter-Affiliate Swap Clearing Exemption
On December 10, 2019, the CFTC reopened the comment period for the proposed capital requirements for swap dealers (SDs) and major swap participants (MSPs) that are not subject to the capital rules of a prudential regulator (together, Covered Swap Entities). These rules are the last set of core requirements yet to be finalized for the CFTC’s SD regime.
CFTC Staff Issues Guidance Regarding Annual Chief Compliance Officer Reports
The CFTC’s Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued an advisory on December 4, 2019 to provide further guidance regarding the preparation and submission of chief compliance officer (“CCO”) annual compliance reports (“CCO Annual Reports”) for swap dealers (“SDs”), futures commission merchants (“FCMs”) and major swap participants (“MSPs”) (collectively, “Registrants”) pursuant to § 3.3 of the Commodity Exchange Act (“CEA”).[1] The CFTC last modified the regulations and...
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